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Joseph D: Cooper 


W\ 


V 


FEDERAL SECURITY AGENCY 
OFFICE OF ADMINISTRATION 
Division of Adnlnistratlve Planning 


















































































Copyright 19^ 
l3y 

Joseph D. Cooper 


Reproduction of any of this material in 
vhole or in part, is forbidden without written 
permission of the author. 

Technical and professional journals are 
authorized to quote brief passages. 

This edition was specially authorized for 
reproduction by the Federal Security Agency 
for official use. The author is not officially 
connected with the Federal Security Agency. 


r;f) I'''3 


05977 



PEEFACE ’ 



This book represents an effort to assemble useful information in 
demand by people who are responsible for the production of policy and 
procedure manuals of all kinds. It covers such topics as the selling, 
planning, installation, and maintenance of instruction systems. Some 
of "the topics may be useful for additional puiT>oses, not related to 
instruction systems. These include the division and classification of 
subject matter, the developing of outlines and writing from them, and 
the techniques of clearance. The looseleaf manual technique itself is 
applicable in other situations where data must be revised currently 
for ready reference. 

It is not necessary to labor the point that we have long since 
passed the day when we could rely upon oral communication and upon the 
personal knowledge of old-timers who could tell you how things were 
always done. • It is easily disposed of by simply mentioning that many 
people have displayed an increasing interest in attending professional 
discussion groups and in reading materials such as this on the subject 
of written instructions. 

VThat is more important is to emphasize what should be an obvious 
point but which experience shows is too easily forgotten: Words on 
paper represent so much waste effort unless they actually communicate 
the intended meaning of their writers to their intended readers and 
are employed by them in the manner intended. How often have we seen 
technically fine manuals gathering shelf dust, improperly assembled by 
their holders and infrequently consulted by them? How often have we 
seen the brave efforts of headquarters reposing in their original bundles 
in field offices or, if untied, resting somewhere in an "in" or "pending" 
box on a field office desk. Truly, the headquarters people must have 
clarified their own thinking, but the ultimate operations of the field 
officers were little dented. 

My purpose in preparing this book, therefore, is to relate mechani¬ 
cally sound instruction systems to the broadest management purposes of 
clarifying and communicating officially approved work instructions. 

The following major ideas dominate this work: 

1. The effectiveness of instruction systems as vehicles of com¬ 
munication can be measured mainly in terms of the extent to 
which their users comprehend and apply the meaning intended 
by their original writers. 

2. There is a special mechanics of organizing and presenting in¬ 
structional materials so that maximum effectiveness will be 
achieved in use. 

3. The process of committing words to paper can be used as a means 
of precipitating thought and decision. Even such seemingly 
dull activities as the devising of outlines and n^ombering sys¬ 
tems and the obtaining of clearances of proposed releases can 
be important means for effectuating the sound formulation and 
communication of ideas. 


4. There is a special kind of psychology relating to the selling 
and operating of instruction systems which must he mastered 
by successful procedural coordinators. 

This work is a revision of a monograph I prepared for the United 
Nations Relief and Rehabilitation Administration in October 19^6, en¬ 
titled, "The Coordination of Policy and Procedure" . That was an attempt 
to fill a need for a basic treatment of an increasingly important manage¬ 
ment technique. A thorough search had revealed that no comprehensive 
treatment had been given to the subject. Brief articles had appeared in 
various industrial trade Journals. The Metropolitan Life Insurance Com¬ 
pany had published several excellent, though brief, surveys of company 
practice. I had discovered excellent material in the published proceed¬ 
ings of annual conventions of the National Office Management Association 
and the Life Office Management Association. On the Government side, 
pioneer work had been done by Edward W. Harding, William S. Harris, and 
several others, including several staff members of the U. S. Civil Service 
Commission. Harding had prepared a work on "Preparing and Clearing 
Directives". Harris is well known for his thorough treatment of the 
looseleaf revisable manuals. I do no disservice to any of these, how¬ 
ever, by saying that their products were fragmentary, that a more compre¬ 
hensive publication was needed. 

This revision of the monograph reflects the additional experience 
accumulated in the last two years. I am indebted to many of my associates 
for their ideas and comments. I must particularly acknowledge the con¬ 
tributions of ideas made by participants in the two series of round tables 
under Society for Advancement of Management auspices in Washington, of 
which I was chairman during IS'kG-k'J and 19^7-48. ^ Finally, I must thank 
my friends in the Federal Security Agency and the Public Health Service 
who stimulated me into doing this revision. 


Joseph D. Cooper 


Washington 
September 30, 1948 


ii 


TABLE OF CONTENTS 


Chapter ‘ Page 

I. THE ROIiE OF INSTRUCTION SYSTEIvB. 1 

The Value of an Instruction System. 1 

Benefits from process of compilation, 1; organizational 
control, 2; planning, 2; information and reference, 2; 
standardization, 3; audit and review, 3; training, 3> 
morale, 3; public relations, 35 economy, 4. 

Typical Resistances. 4 

Resistances enumerated, 4; resistances analyzed, 6, 

II. HOW TO PLAN INSTRUCTION SYSTEMS. 7 

The Special Problem of Written Instructions. 7 

Evaluation of instruction systems, 7; analysis of 
instructional materials by nature, 9> analysis of 
instructional materials by organizational level, 9. 

Typical Organizational Situations. 11 

The acorn tj^e, 11; the mushroom type, 11; the hybrid 
type, 12. 

Factors Which Determine Organizational Requirements.12 

Degree of internal change, 13; personnel turnover, 13; 
personnel caliber, 13 ; organizational or program 
maturity, 13 ; growth or expansion, l4; geography and 
space relationships, l4; need for uniformity, l4; 
complexity and precision, l4; size, 3-5; environment, 15 . 

Classification of Instructional Media. 15 

By content, 15; by applicability, l6; by form, 17. 

Examples of Instruction Systems. 17 

A general mail order house, l8; the Tennessee Valley 
Authority, l8; a‘nationwide grocery chain, 20; the 
Department of State, 22. 

Relationship to Forms Management. 23 

iii 













Chapter Page 

Organization and Arrangement of Content. 23 

Methods of arranging content, 23; rules of 
division and classification, 2k. 

The Numbering System. 25 

Requisites of a good numbering system, 25; value 
of the modified Devey system, 26; detailed mles 
for numbering, headings, and indentation, 26 ; . 

page identification, 30 ; circular identification, 31 ; 
cautions, 31 * 

III. MECHANICS AND SPECIFICATIONS. 33 

Manual Design. 33 

Principles of design, 33; general arrangement, 33; 
page arrangement, 35; size and binding, 3^. 

Circular Design. 37 

General arrangement, 37; page arrangement, 38 ; 
size and binding, 38 . 

Revisions and Current Maintenance. 38 

Manual revisions, 38 ; circular revisions, 40; 
maintenance aids, 40. 

Copy Preparation. 40 

Methods of Reproduction. i|-l 

Stencil duplicating, 4l; offset duplicating, k2; 
the spirit process, k2; letterpress, k2. 

rV. THE FUNCTION OF PROCEDURAL COORDINATION. 43 

'Objectives. 43 

Th'" clearance process—relating the parts to the 
whole, 44; channel of presentation, 45; effective 
issuance, 46; making policies and procedures 
work, 46; reference seirvice, 47; interpretation 
service, 47; historical documentation, 48; forms 
control, 48; printing control, 48. 

iv 












Chapter Page 

Authority for Operating . I 4-8 


Statenent of functions, 49; operating regulation 
for headquarters, 5 O; control of forms, 52 ; control 
of printing and duplicating, 52 ; field offices 
regulation, 52 . 

Organization of a Procedural Coordination Function. 53 

Location, 53; functional relationships, 55; field 
office relationships, 55 ; line of command relation¬ 
ships, 56 ; internal organization, 56 . 

Internal activities. 56 

Manual planning, 57; forms control, 53; printing 
and duplicating review, 5 ®; moniterlng of field 
releases, 58 ; review of current regulations, 58 ; 
publishing check lists, 58 ; maintaining master set 
of regulations, 58 ; maintaining distribution sets 
of regulations, 59 ; auditing of users' manuals, 59 ; 
preliminary review of incoming materials, 59 ; editing 
and proofing, 59 ; indexing, 59 ; receiving and 
dispatching materials, 59 ; maintaining status control, 60 ; 
maintaining approval and general files, 60 ; distribu¬ 


tion control, 60 . 

Qualifications and Selection of Staff. 60 

Personal requisites, 60 ; training of staff, 61 . 

V. INSTALLING A NEW PROGEAM. 63 

The Strategy of Selling a New Program. 63 

Avenues of opportunity, 63 ; the sales approach, 64. 

Compilation. 64 

Organization of a compilation project, 64; sources 
of data, 65 ; screening of data, 65 ; grouping of 


selected data, 65 ; production of the first draft, 65 ; 
clearance and approval, 66 . 

Issuance and Installation..*. 66 


V 










Chapter Page 

VI. CLEARANCES, APPROVALS, AND ISSUANCE. 6? 

Necessity for Clearance Controls. 67 


Summary of clearance and approval procedure, 6j; 
efforts to evade clearance, 68. 

Clearance Systems. 69 

Conference clearance, 69 ; sequence clearance, JO; 
concurrent written clearance, 70 * 

Clearance Mechanics. 70 

Pre-clearance controls, JO; responsibility for 
initiating, Jl; pre-clearance handling, 71; selection 
of points of clearance, 73; form of transmission, 7^; 
deadlines, 7^; clearance review factors, 75; clearing 
non-formal documents, 75; clearance with field offices, 

75; incoi’poration of comments and resolution of differ¬ 
ences, 76 . 

Approval Procedure. 77 

Use of delegated authority, 77; form of submission, 77; 
approval record, jS; effective dates, jS; approval 
relationships, jd. 

The Distribution System. 78 

Selective distribution, 79; mailing list control, 79; 
delivery, 79 ; control of assigned manuals, 8 O; 
reserve supplies, 80 . 


VII. MAKING INSTRUCTIONS WORK. 8l 

Realistic Instructions. 8l 


General conditions of workability, 8 I; adequacy 
of detail, 8 I; adequacy of delegation, 82 . 

Installing New Procedure. 82 

Spot-testing new procedures, 82; local adaptation, 83 ; 
selling the employees, 83 ; discontinuance of previous 
practice, 83 ; installation follow-ups, 84. 

Enforcement..... 84 

Assuring use of procedural materials, 84; compliance 
reviews, 85 ; administrative inspectorate, 85 ; 


vi 












Chapter Page 

analysis of anticipated results, 85, spot checks, 85; 
review of ancillary instructions, 85. 

Control of Exceptions. 86 

Revisions and Current Maintenance. 87 

VIII. THE PREPARATION OF INSTRUCTIONAL MATERIALS. 89 

The Psychology of Official Language. 89 

Preparation for Writing. 9i 

Approach analysis, 91; outlining, 92. 

Organization of Instruction Language. 97 

Paragraph structure, 97; sentence structure, 97; 
clarity, 97; brevity, 98; check list, 99; grammar, 100. 

The Vocabulary of Instructions. 100 

Precise and concrete words, 100; words of 
discretion, 100; technical terms, 101; 3.egalistic 
language, 101; stilted and overworked language, 101. 

Techniques of Editing and Revising Copy. 102 

How to Write Delegations of Authority. 103 

How to Write Definitions. 104 

Check List for Writing Procedures. 10^^- 

Check List for Writing Instructions for the Preparation 

and Maintenance of Records. 305 

Check List for Writing Instructions for the Preparation 

of Forms and Reports. I06 


vii 















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V 






CHAPTER I THE ROLE OF INSTRUCTION SYSTEMS 


Written instructions are means for the transfer of thought be¬ 
tween people. They are used to convey official policy guides, to con¬ 
vey specific procedural directions, and to convey material of an in¬ 
formational character only which requires no specific action. 

As a matter of convenience, the term "instructions" will be used 
throughout this book to refer to administrative orders, bulletins, regu¬ 
lations, office notices, branch office manuals, procedure manuals, cir¬ 
culars, circular memoranda, directives, handbooks, job instructions, ad¬ 
ministrative routines, standard practice instructions, codes, releases, 
issuances, and any others. 

In a small organization, where most relationships are face-to-face, 
there is usually a minimum need for written instructions. The written 
word becomes increasingly necessary as an operating guide as size intro¬ 
duces greater distances between those who direct and those who do and as 
size of organization makes more and more processes and people subject to 
unified direction. Of course, there are many other factors, including 
rate of methods change, rate of turnover, complexity of operations, etc. 
These will be discussed later on in connection with determinants of 
individual systems. 

In the absence of instructional system, certain typical conditions 
can be found in almost any large organization: 

1. The books are loaded with obsolete or unworkable materials. 

2. Many materials are in conflict with each other or with un¬ 
written practice. 

3 . Many important operations have never been committed to paper. 

The Value of an Instruction System 


If a decision is made to compile and produce a new system of in¬ 
structional releases, many important benefits usually result from the 
process of compilation and synthesis in itself, in addition to the con¬ 
tinuing advantages of the system. 

1. Overlapping and duplication are eliminated. 

2. Important gaps are revealed for further attention. 

3 . Defects in methods are revealed and are often improved during 
the course of compilation. 

4. Unnecessary or obsolete activities are eliminated. 

5 . The number of forms is often reduced. 





2 


6. Lines of organizational relationship are clarified since the 
flow of work follows those lines. 

7 . Organizational relationships are improved through the elimina¬ 
tion of conflicting practices. 

8. Participation of employees in the examination of the why and 
how of operations' stimulates their work interest, improves 
their knowledge of operations, and develops their analytical 
abilities. 

The following are some of the continuing advantages of systematized 
management of instructions: 

Organizational Control. Any organization is composed of people per¬ 
forming diverse tasks in pursuit of common goals. If they are to work 
together harmoniously, clear-cut divisions of labor must be made so that 
each will do only his assigned task and so that no tasks will be unassigned. 
If the separate work units thus established are to work toward the com¬ 
mon goals in an harmonious and effective manner, definite relationships 
must be established in the form of lines of communication, review, work 
flow, etc. The divisions of work and the lines of relationship must be 
kept in balance through a central coordinative and directive force. 

Logically organized manuals of operating policies, responsibilities, and 
procedures are tools for achieving the desired decisions and their co¬ 
ordination. They are in a sense a graphic portrayal of the physiology 
of organization. 

Planning. Planning for the future must necessarily be conducted in 
the light of past and present experience. Written records document such 
experience for ready reference. They prevent retrogression - the making 
anew of mistakes that once were corrected. Written instructions provide 
a basis for planning and effectuating the establishment of new branch or 
field offices. 

Information and Reference. The initial reason for preparing and 
publishing instructional materials is to provide people with information 
or guides to action. They are provided with authoritative compilations 
of approved practices and relationships which they will regard as 
"bibles” if they are kept current. Reference to the bible eliminates 
much unnecessary correspondence, error, and loss of time. It settles 
arguments and dispels confusion. The written record also serves to 
capture data which otherwise may be kept in the minds of employees and 
depart with them forever when they leave the organization. Ease of 
reference is also accomplished through the process of grouping subject 
matter in logical relationships and sequences. Outlines are prepared 
which are not confined solely to current operations; they may include 
topics which may become activated in the future. As current instruc¬ 
tions are released, each finds its logical, predetermined place within 
the outline. Thus, users are able to find all related materials 





- 3 - 


together under coimnon headings. 

Standardization. Control of operations depends upon standardiza¬ 
tion of routines and specifications of the manner in which exceptions 
should he handled. Operations which are standardized can he controlled 
from afar and integrated with other activities as in the case of home 
office control of field office operations. Standardization is a prere¬ 
quisite to performance measurement. Written instructions, properly 
codified, make this possible. 

Audit and Review. A manual of procedures is often useful in con¬ 
ducting operational audits. Examinations can he made of actual 
practices and performance against the prescribed methods and criteria. 
Deviations can he picked up for study and possible correction, including 
issuance of revisions of unworkable methods. Written instructions are 
relied upon by financial auditors as the ruling criteria in review of 
vouchers and other financial documents. 

Training. For new employees in an organization or old employees 
who are given new assignments, a thorough collection of written in¬ 
structions is invaluable in accomplishing initial orientation and con¬ 
tinuing work guides. "Breaking-in" periods can be reduced considerably. 
Employees cannot offer alibis that they "didn't know”. They will have 
greater confidence in their own performance. Whenever there is a great 
influx of new employees, written materials will relieve the training 
problem. Indirectly they facilitate personnel recruitment for they re¬ 
duce skill requirements in many cases. 

Morale. The individual employee's morale is subject to lowering 
or heightening in response to many varied stimuli. Written guides can 
contribute to some extent in improving morale by dispelling any inse¬ 
curity on the part of employees as to how work is to be performed. 
Thorough systems of written instructions enable employees to visualize 
the whole process of work operations and to relate to it their individual 
tasks. They are enabled to have a sense of participation in the tota] 
operation. On a larger scale, organizational relationships are improved 
when officers and employees have a mutual understanding of duties and 
responsibilities. Particularly is this important in the often strained 
relationships between headquarters and field offices. 

Public Eelatlons. The modem theory of public relations holds that 
every employee who comes into contact with members of the public is a 
special public relations representative. He must know the answers - or 
where >'■'-> find them - to a great number of questions. His manuals and 
circulafs are indispensable for this purpose. Moreover, as increased 
mobility enables more and more of the public to move about from city to 
city, they will expect the same type of service from branches of the 
same organization. The consequent demand for standardization will in¬ 
crease the need for manuals of instruction. 







- k - 


Economy. The theme of economy runs through all of the benefits 
Just described. Accessible instructions reduce inter-office corre¬ 
spondence and resultant time losses. Standardization promotes common ad¬ 
herence to the best practices and enables common use of forms. Written 
records of operations enable management to study and improve methods. 
Employees are more quickly trained and brought up to higher levels of 
productivity. 

In addition to the benefits and advantages Inherent in a sound 
instruction system in itself, certain additional benefits result from 
having a centralized organizational unit responsible for the system, 
including the clearance and issuance of all appropriate instructions 
which are part of the system. 

A central procedures unit can provide: 

1. Means for bringing together and resolving the viewpoints of 
all affected organizational units so that the final expressions 
of policy and procedure would be products of the organization 
as a whole. 

2. A channel for the dispassionate presentation of proposed 
instructions to higher authority for consideration and ap¬ 
proval or for review of differences and decision. 

3. A central reference service on current and previously issued 
instructions. 

4. An interpretation service with respect to the original intent 
of policies and procedures. 

The role of the central procedures unit will be elaborated upon 
later at greater length. 


Typical Beslstances 

Up to this point we have considered the benefits which should flow 
from a well-organ!zed instructions program. We ought to consider the 
objections that are often received from both management and employees 
together with some answers to those objectives. 

”Our organization is different.” Every organization is different. 
But every organization has in common the necessity for getting employees 
to perform in accordance with a pre-determined plan. Every organization 
has in common with all others the necessity for integrating its opera¬ 
tions; in large organizations tuis necessitates reliance upon written 
media of communication. 

''Our organization is too small.” This may be a valid objection if 
offered in sincerity. It is not a valid objection if the organization 






- 5 - 


is new, is expanding, is highly complex in its work relationships, is 
highly diverse, is undergoing major program changes, or is experiencing 
drastic turnover. Even the smallest organization would profit from 
having a set of duties specifications, if nothing else. 

"Our men learn from the bottom up." A manual of instructions is a 
compilation representing a broader base of experience than any one man 
could obtain from his own immediate supervisors. The organization that 
depends upon a trial-and-error learning process is losing the maximum 
productiveness of its employees. The written performance guides, em¬ 
bodying as they do the best experience of the past, could abbreviate 
the period of training for positions of higher responsibility. 

" This project would cost too much." The costs of management cannot 
be avoided. An effective instructions program will cost money. If it 
is avoided as a direct outlay, its cost will be spread in hidden form 
over excessive supervision, longer training periods, correction of 
errors, duplication of effort, loss of maximum effort, loss of valuable 
experience through employee turnover, etc. 

" This sounds like a lot of red tape." Red tape is procedure which 
is unnecessarily burdensome. It is procedure grown obsolete. It does 
not have to be committed to paper as a written statement of method in 
order to exist in practice as red tape. Far from introducing red tape, 
the recording of official practice makes it subject to general scrutiny. 
Unrecorded practice tends to become a vested interest, inflexible and 
unable to keep pace with the changing requirements of the organization. 
The charge of red tape is sometimes made by individuals who prefer to 
pursue their own ends without central coordination. 

" This would stifle initiative." In any group activity, the initi¬ 
ative of the individual must be subordinated to the requirements of the 
total organization. If, however, instructions are formulated demo¬ 
cratically, employees will have ample opportunity to display initiative 
by suggesting modifications and improvements. 

" We don't have the time. " Unfortunately, the rewards from many 
desirable management practices are not immediately apparent. The tend¬ 
ency is to expend all effort upon the daily compulsory operational 
workload and to brush aside long range projects as being unprofitable. 
Sometimes it is simply an inability to organize one’s time, to allocate 
properly between planning and doing. As already pointed out, time not 
invested in the development of a good system will be more than offset 
by the time Spent in duplicate and conflicting effort, in the training 
of new employees, in burdening supervisory and executive staff, and in 
remedying the consequences o'f ill-prepared instructions. 

" We tried it before and it didn't work." A previous failure does 
not mean that a new effort will also fail. P.ast failure may have 
occurred because the organization had not been properly sold on tlie 








- 6 - 


merits of the system, because of the insufficiency or inadequacy of the 
procedural staff, because of insufficient follow-through, or for other 
avoidable reasons. 

And so on and on. If we analyze these objections, they actually 
are used in many cases to conceal a deep-rooted sense of insecurity. 

The actual fears of people may be expressed as follows: Perhaps jobs 
would be eliminated as a result of this new "efficiency” drivel Perhaps 
my job won’t look too important when it’s put on paper I If I give away 
my operational methods, I can no longer play the role of the old 
indispensable 1 Why don't these upstarts let well enough alone; why 
don't they let things stay the way they’ve always been? 

• The antidote for resistance is a prescription compounded of: 

(a) the wholehearted support of top-management, (b) the competence of 
the instructions staff, (c) the ability of the instructions staff to 
convince people that it does not desire to usurp the primary responsi¬ 
bility of functional divisions and (d) time. 


- 7 - 


CHAPTEE II. HOW TO PLAN INSTRUCTION SYSTEMS 


The planning stage in the development of an instruction system is 
highly important. Once a particular system is chosen and installed, it 
can he changed only with great expenditure of energy. Rather than 
simply copy a system that seemed successful elsewhere, one must examine 
of themselves the unique conditions in his own organization as a basis 
for determination. 

The Special Problem of Written Instiructions 

Suppose Jones wants to accomplish task X, with the help of Smith. 
If Jones and Smith are about equally familiar with the problem of X, 
Jones need only give Smith the simplest instruction - a few words, per¬ 
haps. 


A new man. Brown, is assigned to Jones. Brown is qualified to do 
the work but knows nothing about X. Jones must tell Brown all about X, 
what it means, why it is important, how it relates to other tasks, the 
detailed plan for accomplishing X, and the part which Brown is to do. 

In a direct, person-to-person relationship, Jones can vary his 
methods according to the needs of individual employees. He can demon¬ 
strate each step of the procedure, answer questions, observe performance, 
and insure that the work is being carried out as planned. 

When more people become involved, Jones begins to put his instruc¬ 
tions in writing. He cannot rely upon person-to-person contact. He must 
write for readers of different backgrounds and levels of understanding. 

He must be complete and clear in the first instance. He must be able to 
anticipate problems which will confront the reader. He cannot be every¬ 
where at once to answer questions and correct errors and misinterpreta¬ 
tions . 

After he has issued a number of written instructions, Jones becomes 
aware of many difficulties in the way of making them effective. Some 
people do not read instructions. Others read them but do not apply 
them. Still others read them and apply them incorrectly. Jones must 
answer many questions by mail and often he must write supplementary in¬ 
structions in order to clarify the original instructions. 

Through trial and error Jones learns the tricks of the trade. He 
anticipates the questions people will raise. He anticipates the mistakes 
that must be forestalled by careful instruction writing. He develops a 
style of writing that seems best suited to the giving of instructions. 

He makes use of charts and illustrations for clarification wherever 
possible. Thus Jones, through trial and error, masters the techniques 
of instructional preparation. 

There also appears to be a typical evolution in the format and 
coordination of written instructions. The simplest form is usually that 




- 8 - 


of the dated memorandum with a heading of: 

To: 

From: 

Subject: 

These memoranda are usually typewritten for limited distribution. 

If the instruction is of wide applicability, it may be reproduced 
mechanically by the tens, hundred, or thousands as a circular. 

However, people are unable to know from these simple memoranda 
whether they have received all in a series. The next phase in the evolu¬ 
tion of the system, then, is the serial circular. Each circular memoran¬ 
dum is numbered in sequence. Thus making it possible to determine whether 
all circulars have been received. It is also easier to identify or ask 
for copies. One can say "Refer to order No. 50", or "Please send me two 
copies of circular No. L-6l." There may be one general series or an 
"Administrative Order," "Controller's Circular," "Headquarters Series," 
"Branch Office Letter," etc. 

When the serial circulars become very numerous, instructions on 
related subjects may conflict with each other, so that the user does not 
know which to follow. One may never be quite sure whether he has all 
the material on a single subject. This condition was described by an 
electrical manufacturing company when setting up its instructions system: 

"Hundreds, if not thousands, of permanent and semi-permanent 
standard practice instructions, procedures, and policies are 
decided annually in our company and every company of our size. 

They may arise from any section, department, or division of our 
business and each such procedure or policy may affect one member 
of our staff or many. 

"We have no company-wide uniform system of recording, approving, 
indexing, filing, distributing, and preserving these decisions and 
procedures. Since they represent the rules' by which our business 
is conducted, it appears obvious we should adopt a unifom plan 
for getting them on paper, using them, and preserving them." 

At this point, the instruction system must be based upon some 
pre-determined classification plan. By allocating new instructions to 
their proper place in a logically ordered subject matter structure, it 
is easier to find desired information. 

Two observations may be made: First, the greater difficulty of 
transferring thought through written instructions than through person- 
to-person contact necessitates special skills of presentation. Second, as 


- 9 - 


a body of instructions grows in volume, special attention must be given 
to the mechanics of their coordination. 

Even the simplest instruction poses problems for its author. For 
example, the sign "WET PAITJT" is clear, brief, and simple. How often 
does someone read the sign and then rub the paint with his forefinger? 

The broadest division of instructional materials is into policy, 
procedure, and information. 

1. Policies are guiding principles governing future courses of 
action usually of a recurring nature. They constitute advance 
official approval of the aictions which officers and employees 
are to take under stated circumstances. They provide for 
consistency of operation on the part of all concerned. They 
are the laws of conduct of the organization. They do not, 
however, contain details as to the execution of policy. 

2. Procedures are the actual courses of action, the actual methods, 
steps, or routines to be followed in accordance with the guid¬ 
ing policies or statements of principle. The statement of 
policy would be brief, little more than a few paragraphs or 
lines. The statement of procedure would go into the working 
details, covering methods of operation, reports, etc. Policies 
tend to be stable; procedures vary more frequently in terms of 
paper work, review, routing, etc. 

3. Informational releases, in a narrow sense, are any statements 
which are designed to acquaint members of the organization 
with facts or situations which are Important for their general 
working knowledge, their understanding of their rights and 
privileges, their morale and sense of belonging, etc. Infor¬ 
mational releases do not ordinarily require specific action 
stated in terms of duties or responsibilities. In a broad 
sense, of course, any statement of policy or procedure is 
informational. 

These three basic types of instructions may be further analyzed or 
differentiated according to organizational level: 

1. The top policy level usually centers in the board of directors, 
in a private firm, and in the Congress, in the Government 
service. The matters covered and the detail of coverage 
are — or should be.— very broad. Shall the company expend 
into a new line of manufacturing? Shall the company change the 
distribution of its investments? Shall the Government regulate 
prices? Shall the Government subsidize private housing? Top 
policy set by the board of directors, the legislature, or the 
President (when authorized), is usually for the guidance of the 
management officers or administrators who must translate and 


- 10 


give effect to policy. Top policy is formulated within the 
operating or corporate charter of the private company and within 
statutes and executive orders in the Government service. 

2. Within the framework of policy set hy the hoard of directors 
or the legislature, the head of the organization can set 
operating policies without having to return for affirmation or 
confirmation. At this level, any procedural accompaniments 
normally are free of detail; they would simply show the major 
divisions of responsibility and the major lines of work flow. 
There would ordinarily be no attempt to spell out in detail 
the number of copies, reviews, etc. 

3. Immediately below the top administrator's level there is usually 
a general management level, although not necessarily identified 
as such. The position may be that of deputy administrator, vice 
president in charge of operations, general manager, etc. Here 
the main concern is with the more specific statements of policy, 
regulation, and procedure that are of general organization wide 
concern, or with the relationships and work flow that tie two or 
more parts of the organization together. 

k. Within each department and subordinate unit of an organization 
will be found governing policies and procedures relating to its 
own work. The amount of detail in these instructional materials 
increases as the unit of applicability becomes smaller. Thus, 
the instructions for an individual correspondence clerk in a 
certain position are more replete with detail than instructions 
for correspondence clerks in general. A procedural statement 
could be written to show the main points in the routing of an 
application for life insurance through the underwriting depart¬ 
ment. Such a statement could simply mention what is done at each 
point or it could go into the full detail of the handling at each 
point. To use a more familiar example, I could state that I 
wake up in the morning, brush my teeth, wash, shave, dress, eat 
breakfast, grab my hat and rush out the front door. Or I could 
explain how I awaken, get my morning bearings, decide whether to 
be cheerful or grouchy, walk into the bathroom, put paste on the 
toothbrush, brush my teeth, rinse my mouth, soap my face, rinse 
it, lather my face with brushless shave cream, sharpen my razor, 
shave my face, etc. If there were a need, I could explain how 
I pick up the toothbrush, remove the cap from the tube of paste, 
squeeze a quantity on the brush, wet the brush, rub it in front, 
in back, and over all other surfaces of the teeth, pick up a 
glass, fill it with water, rinse my mouth, etc. We could go 
into even greater detail on so common a daily procedure. 

The main point is that there are different levels of policy and pro¬ 
cedure, according to the range and breadth of their organizational 
character. Furthermore, the detail of a procedural statement may be 


11 


broad or fine in direct proportion to the number and variety of positions 
governed. All of this may seem obvious, but it is of great importance 
in relation to determining the kinds of instructional media an organiza¬ 
tion should have and the distinctions which should be made among them. 

Typical Organizational Situations 

Let us turn for a moment to a description of some typical situations 
that may be found in various organizations. The first is the "acorn" 
type of organization which from a small beginning has grown into a more 
or less mighty oak. Typically, its growth pattern is as follows: 

1. In its small beginnings, everyone in the organization knew 
everyone else, what he did, and how he did it. Communication 
in the main was by word of mouth. The traditional way of doing 
things was handed down orally to new employees. As the company 
grew in size an occasional memorandum or minute was written, 
circulated, and filed. If you were to ask why something was 
done you would be told, "We've always done it this way." 

2. With increased growth and the development of field offices, the 
written forms of communication became more formalized. Even¬ 
tually someone collected a body of instructional information and 
printed and bound it into one or more handbooks which became 
out of date almost before the ink could dry. 

3. Unless there was a system of publishing and distributing 
organizational and procedural statements for general information 
the various divisions tended to go their separate ways, with 
resultant duplication and overlapping of work procedures and 
forms. Without system in its instructions, the home office 
would begin observing that field offices were operating at 
variance with desired standard practice either because of a 
disregard of instructions, absence of clear written instructions 
or use of obsolete or conflicting instructions. 

4. Finally, the need for organized method would become evident and 
a procedures unit would be established. 

The second type of organization is the "mushroom" type, representing 
an overnight growth of considerable size. Here we have no gradual dis¬ 
tribution of duties and responsibilities, no gradual building of tradi¬ 
tion, no intimate acquaintance of each employee with the activities of 
other employees. We have instead the immediate necessity of erecting an 
organizational structure somewhat along the following lines: 

1. The hasty indoctrination of staff with objectives and procedures 

2. The tentative division of work among divisions and staff offices 



- 12 


3. The formulation of vork methods, vork flow, and lines of com¬ 
munication. 

The confirmation of these arrangements through written instruc¬ 
tions . 

5 . The review, revision, and reorganization of these various 
arrangements. 

The shaking down of a new organization is not simply a matter of 
devising and communicating the what and the how. For quite some time 
the task of management is to weld together an harmonious working group 
whose members have differing personalities, differing backgrounds, and 
differing concepts of how the job should be done. All in all, this type 
of organization has a difficult instructional problem which will involve 
all key personnel for a great part of their time during the formative 
years of the company's growth. 

The third type of organization is the "hybrid". It results from 
the merger of two or more previously separate organizations. All that 
has been said about the other two types applies here with an important 
addition: in the hybrid type, the previously separate methods of doing 
business must be merged. Each faction usually feels that its way was 
the better. There is thus an even more difficult problem of welding an 
harmonious group than in the mushroom type. If the separate elements 
are both young, the merger of policies and procedures is helped con¬ 
siderably. If even one of the elements is young and adaptable, the mer¬ 
ger is helped. If, however, the two or more elements merged together 
have matured and taken on marks of antiquity, the problem of developing 
a unified system is a serious and difficult one. 

For exau^le, let us assume that two companies writing insurance are 
joined by merger. One has had an operating policy of low cost to the 
policyholder; the other, a policy of better and better service at an 
increased cost to the policyholder. The working procedures of both re¬ 
flect in many small ways these guiding principles. Suppose, under the 
merger, that a uniform principle of lo/ cost is to be adopted. All 
through the organization the working procedures must be examined to 
assure that operations are trimmed of all details and frills that can be 
dispensed with. This is not simply a matter of inculcating new habits 
of operation. The same illustration could, of course, be used to describe 
a shift in policy within a unitary organization not involved in a merger. 

Factors Which Determiiie Instructional Requirements 

The foregoing discussion should demonstrate what should be an 
obvious fact which, however, is all too often forgotten: every organi¬ 
zation is unique unto itself; no two organizations have identical con¬ 
ditions of operation. Consequently, every organization must analyze its 



- 13 


own conditions as a prerequisite to formulating a new system of instruc¬ 
tional coordination. Nevertheless, we frequently see examples of systems 
which worked well elsewhere, which, when imported into a new organiza¬ 
tion do not work out at all.. Following is a list of factors which should 
he examined when planning a new instructional system. With differing 
degrees of emphasis, each is a factor to he considered for whatever 
influence it might have upon the individual organization's requirements. 
There is no universal formula. 

!• Degree of Internal Change. In general, an organization which 
has a great deal of internal activity and change, including 
changes in objectives, organization, methods, and personnel, 
has a need for a system which is flexible and readily revisahle. 
The distribution system must permit those who actually need 
operating instructions to receive them with a minimum of delay. 

On the other hand, an organization which is fairly well settled, 
which has little change in internal activity, has less need for 
extensive flexibility and revisability in its media of instruc¬ 
tional release. Distribution of instructions need not be so 
expedient but can yield to other factors, such as economy, line 
of supei*vision, etc. This is a very important factor. 

2. Personnel Turnover. The turnover of personnel in general or in 
particular categories will place a greater demand upon instruc¬ 
tional materials for use in training and indoctrination. 

Personnel turnover will necessitate a wider distribution of 
instructional materials among the categories of personnel 
involved. This is also an important factor. 

3* Personnel Caliber. The caliber of personnel will govern the 

format and style of instructions as well as the degree of detail 
and specificity. The governing factors are the intelligence, 
training, and experience of the personnel. Instructions for a 
clerical group require a different written and visual treatment 
than for a group of higher grade personnel. Sometimes, instruc¬ 
tions on the same subject must be prepared in separate series 
with different style treatment,, if there is too great a dif¬ 
ference in levels of comprehension. The necessity for clear 
written instructions in general is made greater as less reliance 
can be placed on the judgment capacity of employees. 

4. Organizational or Program Maturity. The relative age of an 

organization has its greatest effect upon the amount of instruc¬ 
tional activity. As a program becomes stabilized, department 
heads will devote less time to formulating and obtaining agree¬ 
ment on new work methods. The rate of releasing new instructions 
resulting from factors within the organization will decrease. 
However, if part or all of an organization undergoes a major 
work change, it thereby becomes in effect a new organization. 

This all assumes that the old organization has put its policies 






- Ik - 


and procedures in writing in a systematic manner. An old 
organization first starting on a program of inventorying and 
codifying its practices will discover many instances of over¬ 
complication, overlapping, duplication, and obsolescenqe, as 
well as gaps in its policies and procedures. In trying to 
correct and bring them up-to-date, resistances may be encoun¬ 
tered since discontinuance of work methods may mean discon¬ 
tinuance or reshuffling of Jobs. The newer organization must 
devote a major amount of effort to fourmulating new and revised 
work methods and to interrelating its agreed l^rork methods, 
especially between separate departments or work units. It will 
go through a considerable amount of trial and error and there¬ 
fore must have flexibility of a high degree in its method of 
releasing and filing instructions. 

5. Growth or Expansion. An expansion trend will create a demand 
for instructional materials, particularly if the trend is toward 
opening branch or field offices. Eeady availability of manuals 
is a great asset in enabling an organization to put a new office 
on a going basis as quickly as possible. It eliminates con¬ 
fusion and delay while the field office attempts to get official 
instructions from the home office as problems arise or after 
mistakes occur. 

6. Geography and Space Relationships. The location and dispersion 
of offices also is an influencing factor. If a half dozen 
people working in one room require instructions applicable to 
them only, the instructions can be oral or by simple memorandum. 
Separate these people in the same building, throughout the city, 
or in the field, and you have a progressively more formal de¬ 
mand for written, codified instructions. Thus, the crux of any 
headquarters field relationship is the adequacy and effective¬ 
ness of the communication system. The further apart physically 
that members of the organization are, the more formal is the 
character of the instructions, the greater is the need for 
written instructions. 

7. Need for Uniformity. Somewhat related to the problem of loca¬ 
tion and dispersion is the factor of uniformity. It is not always 
important that there be uniformity in all activities of field 
offices, but certain operations must be identically consistent 
among all field offices to enable the home office to perform its 
central operations. This is especially true where accounting 

and statistical information must be centrally collated or uti¬ 
lized. Also there is a public relations aspect, because people 
who change their locations from city to city in today’s mobile 
society will expect uniform treatment from different offices of 
the same organization. 

8. Complexity and Precision. The need for precise, carefully 
coordinated, and codified instructions becomes greater with any 






- 15 - 


increase in the conrplexity or intricate character of an 
organization and its methods. This is undoubtedly one of the 
major factors vhich -will increase the need for proficiency in 
the techniques of procedural coordination. If all the parts 
of an operation must be carefully timed and precisely fit 
together, complete and precise instructions must be passed on 
to the units and individuals involved. Each link 'in the chain 
of operation must know what is expected of it and how it ties 
into the preceding and succeeding links. 

9* Size. The factor of size runs through most of the others 
already discussed. Instructional situations are created by 
sheer size which do not arise in small organizations. This 
is particularly true with respect to regulations governing 
personnel management and common administrative services. Size 
results in increasing specialization and accompanying com¬ 
plexity. Employees in a big organization tend to lose sight 
of the whole in their preoccupations with their Imm ediate work 
environment and duties. The need for indoctrination material 
for employees is increased -- perhaps geometrically — in a 
large organization. Only through reference to written materials 
is 'it possible frequently to find out about work policies and 
practices in another part of the organization. In a large 
organization, the broad rule is predominant; exceptions or 
latitude for individual deviations are discouraged if the rule 
of many is not to be weakened. The larger the group of people 
or number of units performing like operations, the greater is 
the opportunity for analysts to set forth written standards of 
operation. 

10. Environment. A final factor is the external environment. If, 
for exairrple, competition for business is keen, emphasis will be 
toward building up instructional facilities and releases of the 
sales department. Instructional activity flows also from new 
regulations of government agencies. Both private firms and 
other government agencies are affected by such public regu¬ 
lations. To a not inconsiderable extent, other aspects of 
public relations will have their effect upon the type and volume 
of Instructional materials. 

Classification of Instructional Media 


In one way or another, all of the factors listed -- and undoubtedly 
others not listed — interrelate and come to bear on the planning and 
shaping of an organization’s formal system of commimieating and coordinat¬ 
ing written Instructions. As a guide to planning, we might have in mind 
three different ways in which instructional materials can be classified: 

The first is by the nature or content of the subjects covered. This 
Includes the following: 







- l6 - 


1. Basic administrative policies, regulations and procedures 
governing the operating program of the organization, i.e., 
the specific technical policies and procedures necessary 
to the accomplishment of the organization's objectives. 

2. Basic administrative policies, regulations and procedures 
pertaining to the management of the organization, consistent 
with its operating objectives and policies, including functions 
and responsibilities, personnel management, fiscal management, 
and administrative services of a housekeeping nature. 

3 . Operating directives to heads of field offices or to heads of 
special projects describing their objectives, responsibilities, 
authorities, limitations, relationships, etc. 

4. Office practices, including such details of office routine as 
requisitions for persoimel service, correspondence preparation, 
supply requisitioning, filing standards, use of telephones, 
records management, etc. 

5 . Special purpose manuals dealing with specific technical subjects, 
temporary programs, or special operating programs in a complex 
organization. 

6. Job methods and performance routines of such detail that they 
apply to individual workers or units. 

7 . Informational materials, for use within the organization, not 
binding as policy or procedure. 

8. Spot announcements regarding special events, important personnel 
changes, reminders, etc. 

The second method of classifying instructional materials is by 
applicability. By this is meant the organizational areas or groups of 
people who are governed by the instructional release*. The following 
appear to be the major breakdowns: 

1. General instructions apply to all parts of the organization, 
both at the home office and among its branch or field offices, 
except as provided in individual releases. A general instruc¬ 
tion might, however, be issued in separate fom for home office 
and field office use. 

2. Home office instructions are directed only toward home office 
personnel and deal with home office problems or home office 
treatment of field problems or activities. 

3 . Field instructions are directed toward branch or field offices 
for guidance but may also be for the information and guidance 
of home office personnel charged with planning, reviewing, 
servicing or working with field operations. 




- 17 - 


4. Unit instructions are limited in their applicability to the 
functions and personnel under the control of the issuing unit, 
whether a division, department, branch, section, field super¬ 
visory office, etc. 

The third category which is suggested is the physical form of the 
instruction: This divides principally into (l) individual letters or 
memoranda, (2) circular releases, (3) looseleaf revisable manuals, and 
(4) nonrevisable manuals. 

1. The individual letter, memorandum, telegram, or cablegram is 
used for the general run of day-by-day communication. It serves 
as a convenient means of answering questions, stating individual 
rules, confidential policies, temporary instructions, exceptions 
to rules, and modifications of policy and procedure. It should 
not be used for permanent instructions of general applicability 
to which substantial reference may have to be made. 

2. Circular releases are duplicated issuances usually dealing with 
a single subject. They are usually issued through numbered 
series and as such can be easily identified and referred to. 

They are used when ease of reference and general applicability 
are important factors. They are sometimes used as preliminary 
forms of issuance prior to inclusion in a revisable manual or 
when they pertain to subjects not included in any manual. 

3. The looseleaf revisable manual is a housing for all procedural 
materials that are reasonably permanent and have a substantial 
reference value. The materials included should either have 
general applicability or have an integral relationship to the 
overall operations being described. The looseleaf nature of 
the manual permits ready revision, addition, and deletion. 

4. Non-revisable manuals are bound or stitched booklets or pamphlets. 
They should be used only for the presentation of materials that 
are not expected to change within a reasonable period. They are 
suitable for technical manuals, reference works, individual job 
instructions, employee handbooks, etc. 

In a sense, any system of release is three dimensional, for in some 
way it must embody some combination of all three of the elements just 
listed. For example, claims adjustment instructions (content) might be 
directed toward field offices (applicability) and issued through a non- 
revisable, single purpose menual (form). 

Examples of Instruction Systems 

Several representative examples of actual instruction systems are 
now presented. These examples have been selected from large organizations 
and thus represent treatment of more complex situations. Smaller organi¬ 
zations will have systems considerably scaled down in scope. 





- 18 - 


Example No. 1. A general mail order house describes its four types 
of instructions as follows: 

(a) Operating Division Instructions - which contain Personnel 
Instructions regardless of whether written as a result of a 
Personnel Division Directive or any other source. This par¬ 
ticular instruction contains information about Hiring Procedures, 
Re-Call and Re-Instatement of Employees, Transfer of Employees, 
Personnel Reports, Miscellaneous Personnel Instructions, Hiring 
of Executive Employees, etc. In addition, these instructions 
contain information about Ordering Supplies and Forms, Author¬ 
ized Signatures, Furniture and Equipment, Vacations, Holidays, 
Military Service, Lunch Periods, Employee Benefit, Plans, etc. 
These instructions are dittoed on x 8J-" paper stock and are 
filed in a 2” ring binder. All instructions of this type are 
contained in one volume. 

(b) Physical Operations Instructions - which contain detailed in¬ 
structions concerning all Warehouse Order Handling, Shipping 
and Receiving Activities, Merchandise Storage, Stock Control, 
Packaging Methods, etc. These instructions are presented in 
the same format as Operating Instructions and are represented 
as three volumes, but are Contained in ten 1^" ring binders. 

In addition, there is a fourth volume containing Form Instruc¬ 
tions only. These Form Instructions require five additional 
1^" ring binders. 

(c) Clerical Operations Instructions - which contain instructions 
concerning all office procedures such as: Mail Opening, Order 
Preparation, Analyzing and Advising, Routing, Order Adjusting, 
Stencil Files, Order Distribution, Mail Reading, Return Goods 
Handling, etc. These Instructions cover the handling of paper 
work as against Physical Operations Instructions which cover 
merchandise handlings. Clerical Operations follow the same 
general format as the two types explained previously and are 
contained in twenty 2" ring binders. 

(d) Job Breakdown Sheets - This type of instruction is not written 
by the centralized Instruction Writing Department. Instead, 

the responsibility for its creation is vested in each individual 
department. Job Breakdown Sheets are created for each job 
within a department and are used to train new employees to do 
the job. It is a streamlined method for getting an employee 
into production on the job in the shortest time possible and 
is in use in many Industries today. 

Example No. 2. The Tennessee Valley Authority has four major 
categories of "administrative releases" which it describes as follows: 


1. Releases Defining Programs or Policies and Establishing 

Delegations — Program Authorizations define broadly: (a) the 










- 19 - 


continuing programs and accompanying policies of TVA as pre¬ 
scribed by the Board of Directors; (b) the delegations of 
responsibility established by the General Manager for accomplish¬ 
ing these programs; and (c) any review of action and progress 
or reporting thereon deemed appropriate by the Board and General 
Manager. 

Administrative Codes define broadly; (a) management policies of 
TVA, including policies that define, establish, or relate to a 
service, as prescribed by the Board of Directors and the General 
Manager; (b) the delegations of responsibility established by 
the General Manager for carrying out these policies; and (c) any 
review of action and progress or reporting thereon deemed appro¬ 
priate by the Board and General Manager. 

Program Authorizations and Administrative Codes are issued by 
the General Manager. 

2. Procedural Releases to Effectuate Programs and Policies --Inter- 
departmental Instructions prescribe instructions, procedures, 
or interpretations for the administration of programs or .the 
application of policies as broadly defined and delegated in 
Program Authorizations and Administrative Codes. They are issued 
by the heads of departments or principal offices, individually or 
jointly. 

Each department and principal office issues such intradepart- 
mental procedural releases for use within the department or 
office as it considers necessary to carry out programs, policies, 
or procedures applying only within the department, or to supple¬ 
ment interdepartmental procedures. 

3 . Releases Defining Organization —Administrative Organization 
Bulletins establish the organization structure of major sub¬ 
divisions of TVA and define broadly their functions as pre¬ 
scribed by the Board of Directors. They include appropriate 
reference to the departmental responsibilities established 
through delegations made by the General Manager in Administra¬ 
tive Codes and Program Authorizations. They are issued by the 
General Manager. 

Departmental Bulletins establish in further detail the organiza¬ 
tion structure and definition of functions within a major sub¬ 
division of TVA. They are issued by heads of departments or 
principal offices. 

4. Temporary Releases --Announcements give information on subjects 
of interdepartmental interest having temporary or interim sig¬ 
nificance. They are issued either, by the General Manager or by 
the heads of departments or principal offices. 





- 20 - 


Exainyle No. 3. A nationvlde grocery chain with subsidiary companies 
describes its manuals system as follows: 

a. Store Operating Manual --Prepared for the use of managers and 
personnel of our retail stores. 

b. District Operating Guide --Prepared for the use of District 
Managers and Supervisors as a guide to operating retail 
locations. 

c. Central Division Guide --Used in the Head office of the Company. 

d. Supplier Division Guide —Prepared for the use of Supplier 
Companies concerned with procurement of merchandise. 

e. Store Stocking Guide --Used in the retail stores as a guide for 
displaying merchandise. 

f. Personnel Guide —Used throughout the Company as a guide on 
personnel matters. 

g. Public Relations Guide --Used by executives throughout the Company 
who are responsible for dealing with the public. 

h. Labor Delations Guide —Used by Division Managers and executives 
responsible for handling labor negotiations for the Company. 

In addition to the above guides, we have a number of Plant and 
Branch Office guides which deal with Individual operations. 

The manuals of this company contain its more permanent data. To 
supplement the manuals, a comprehensive system of bulletins is authorized. 
The company states: 

The only way that Company policies can be put into practice is by 
seeing that the information reaches all employees concerned. 

It is realized that much information is given to the line organiza¬ 
tion and the staff by word of mouth instruction and discussion, 
but it is important that this information be confirmed in writing, 
when so given, for the reason that with the many problems and details 
it is impossible to rely on memory. 

For these reasons all information and instructions involving policies, 
programs, conclusions, and decisions will be confirmed with written 
bulletins, then amplified to whatever extent desired, by personal 
discussion. 

Bulletins are issued from three sources of authority - the head 
office, division managers, and district managers. From the head office. 











- 21 - 


president's bulletins of three types are issued. 

1. Policy Bulletins vhich set forth policies and procedures govern¬ 
ing company operations and which are to be passed down the line. 

2. Operating Bulletins which outline problems for discussion before 
policies are made, as well as to present general operating 
instructions. 

3* Corporate Bulletins announce the formation or dissolution of sub¬ 
sidiary companies, or furnish other information regarding changes 
in the corporate structure of the company. 

In addition head office bulletins are issued to appropriate depart¬ 
ments and officers by the central accounting, tax, advertising, personnel, 
and guide departments. 

The division manager issues policy bulletins and operating bulletins. 
Division policy bulletins are used to pass the president's policy bulletins 
down the line and to draw the district manager's attention to existing 
company policies or policies initiated by the division manager. All other 
bulletins of the division manager are issued as operating bulletins. 

The district managers in turn issue four types of bulletins to the 
final operating level - the location managers. 

1. Operating Bulletin - Signed by the District Manager - Dealing 
with the following subjects: 

a. All subjects related to operating policies and procedures 
other than those hereinafter outlined. 

b. All subjects related to advertising plans and campaigns, 
special promotion events and deals, and general advertising 
information other than advertised items and prices. 

2. Accounting Bulletin - Signed by the Office Manager - Dealing 
with all subjects related to forms and reports. These bulletins 
are prepared by the office manager. 

3. Price Bulletin - Signed by the Price Maker - Dealing with all 
information on the following: 

Retail prices 

Advertised items and prices 


These bulletins are prepared by the price maker, after securing 
required information from the advertising manager. 








- 22 


4. Merchandise Bulletin - Signed by the person designated by the 

Division or District Manager - Dealing with all information 

relative to dry groceries, produce and meats, such as: 

Ordering Out-of-stock items 

New items Market information 

Distributions Deliveries, etc. 

Example No. 4. The instructional system of the Department of State 
for its Washington staff, is as follows: 

1. Departmental Eegulations - containing the basic operating 
regulations, procedures, and instructions of the Department 
governing its continuing internal operations. 

2. Organization Manual - covering the basic responsibilities, 
authorities, and relationships of units of the Department. 

3. At^Tninistratlve Practices Manual - containing technical in¬ 
structions for the guidance of administrative officers and 
related personnel of the Department in performance of their 
duties. This Manual is supplementary to the Departmental 
Eegulations. It includes detailed presentations of actual 
techniques and detailed procedures for the performance of 
administrative officer duties. 

4. Departmental Announcements - containing informational items 
of timely or transient interest and regulations and instruc¬ 
tions of a temporary nature. They are also used for the 
issuance of materials which do not fall appropriately within 
other series, or which require issuance originally in a single 
document with subsequent reissuance in more than one place in 
one or more manuals. 

5. Special Handbooks and Manuals - used to provide general back¬ 
ground information and other materials for the indoctrination 
and training of officers and employees and technical materials 
for the guidance of personnel in specialized administrative 
and technical fields. This category also includes operating 
manuals covering specific operating programs and areas, ordinarily 
representing an important segment of the Department’s work. 

6. Office Instructions - dealing with those internal activities of 
Offices and divisions of the Department which do not fall 
appropriately within any of the series specified above. They 
are issued by Offices and divisions directly and are limited 

in their applicability to activities and personnel under the 
control of the issuing office. 











- 23 - 


Relationship to Forms Management 

The methods of forms management are largely the methods of pro¬ 
cedural coordination. Philosophically and technically there is little 
fundamental difference. The objectives of forms management are to: 

1. Eliminate unnecessary and obsolete forms. 

2. Combine similar or related forms wherever possible. 

3. Improve the design of individual forms from the standpoints of 
use and economy. 

4. Organize forms into related series. 

5. Provide for effective distribution and inventory control. 

A form is simply a procedural requirement presented in a convenient 
visual arrangement. Like other procedural materials it should be sub¬ 
jected to the same techniques of review and clearance and should be 
published within an appropriate instructional mediiun. Sometimes the 
instructions for the use of a form are published together with the 
regular text of a procedural manual. Often, considerations of bulk 
necessitate establishment of a special forms appendix. It may be con¬ 
venient to present and explain the use of forms in special technical 
manuals, for the information of limited groups interested in their use. 

For example, purchase forms might be explained in a special purchase 
manual used only by requisitioning officers. 

Forms design can be restricted largely to matters of size, spacing 
of data, and use of captions. Forms analysis and management can take 
one into the why and how of repetitive operations. 

Organization and Arrangement of Content 

The following discussion of methods of organizing and arranging the 
subject matter of an instruction system is based on the looseleaf 
revisable manual. The principles are applicable, also, to the arrange¬ 
ment of subject matter in an individual instruction. 

The guiding theme is the division of the whole into all of its parts 
and the consideration of any part in relation to the whole. The importance 
of this in bringing together related materials, in revealing conflicts, 
overlapping, and gaps has already been explained. 

Methods of arranging content. The arrangement of the subject matter 
of a revisable manual must be carefully determined in the first instance. 
Once fixed, the arrangement can be changed only with great difficulty, 
if it can be changed at all. The following bases for arranging pro¬ 
cedural material have proven useful. 





- 24 - 


1. Functional - arrangement according to functions performed, 
e.g., fiscal management, personnel management, administrative 
services, etc. 

2. Organizational - arrangement according to "who” does "what." 

3. Process or time sequence - arrangement according to the chrono¬ 
logical sequence of an operation, e.g., programming, procure¬ 
ment, transfer of title, distribution. 

4. Homogeneity or convenience of grouping - arrangement according 
to common reference, e.g., fixed assets, expendable supplies, 
non-expendable supplies, etc. 

Rules of division and classification. The methods of arrangement 
suggested above should be supported by a thorough knowledge of the rules 
for division and classification of knowledge. The rules of division are: 

1. All of the subject matter represented by one heading or topic 
can be divided into sub-heads or sub-topics for convenience of 
presentation or analysis of related items of information. 

2. The basis of this division must be useful and manageable, not 
theoretical or superficial; i.e., it must be convenient for 
compilation and revision, convenient for the user, and intelli¬ 
gible. 

3. The division of the total material into its major parts must be 
in accordance with a common basis of the relationship of the 
parts to the whole; i.e., function, sequence, homogeneity, etc. 

4. Further subdivisions can then be made of each of the first 
divisions, with each being on its own basis, regardless of the 
basis of division used for any other division. 

5. The divisions or parts under any single heading must be 
exhaustive; i.e., the whole of the material as represented by 
the total material under the one heading must be equal to the 
sum of the parts. 

6. The divisions or parts must be mutually exclusive, neither 
overlapping nor including one another. 

7. Each of the parts within any act of division or subdivision 
must be of the same degree or level of importance as all other 
components of the same act of division or subdivision. 

While these principles may seem abstract and remote, they have 
important application in the organization and arrangement of content. 
These principles, together with the principles of classification, are 
applied in the discussion of compilation in Chapter V and in the dis¬ 
cussion of outlining in Chapter VIII. 







- 25 - 


Whereas the process of division is the breakdown of a given body of 
material, the process of classification is the taking of unorganized 
material and arranging it into an orderly pattern of mutually exclusive 
parts. If the classification is correct, items of subject matter which 
are alike in one or more major predetermined characteristics will be 
found together, while items not alike in those characteristics will be 
grouped separately. 

Actually, division and classification are two approaches to the 
same objective; logical arrangement. For example, an analyst might be 
compiling material for an individual release or for a manual. He might 
first take the general subject and divide it arbitrarily according to 
whatever arrangement seemed most useful. Then, taking his unorganized 
material, he would group or classify the individual items under the 
tentative topics. He would probably then make adjustments in his original 
outline and subdivide the major topics. A regrouping and allocation of 
the material is then necessary once more. Thus, in arranging his material, 
the analyst alternates between division and classification. 

As a result of dividing his subject and classifying initially avail¬ 
able material, the analyst produces a master outline. 

The Numbering System 

A good numbering system, while designed to serve the procedural 
coordinator, must also serve the ultimate reader. It must not confuse 
him or he will shy away from it. A good numbering system must be flexible 
for ease of revision; it must readily identify the material represented 
and distinguish it from other material; and it must be simple. A number¬ 
ing system for circulars represents no great problem - usually they are 
numbered serially; the more complex problem of numbering relates to the 
looseleaf, revisable manual. The problem of numbering the looseleaf 
manual includes both text and page identification. 

Basically, there are four systems of identification: (l) alpha ¬ 
betical , using letters or combinations of letters; (2) numerical , using 
arithmetic or roman numerals, or both; (3) al phabetical-numerical , using 
a combination of letters and numbers; and (5y mnemonic , using letters or 
combinations of letters and numbers suggestive of the contents of the 
manual or instruction. 

Whatever the system, it must identify: (a) the manual or volume of 
the manual, (b) the subdivision or chapter of the manual, and (c) the 
specific section or paragraph reference. A numbering system which accom¬ 
plishes all of this is described below. It is a modification of the 
Dewey decimal system. 

Earlier, it was suggested that a numbering system could be utilized 
in controlling and interrelating subject matterThe modified Dewey 
system presented here accomplishes tills important pui-pose, in contrast to 
systems of the "open end" type. 








- 2b 


An open end numbering system places no restriction upon the number 
of chapters in a manual or part of a manual. It places no limit upon 
the number of major subdivisions of a single instruction. Thus, the 
major headings in an instruction could be numbered from I to VIII or 
from I to XXV. The chief disadvantage is that overlappings and con¬ 
fusion might result. This happens most frequently during the course of 
revisions or additions. Someone unfamiliar with previously issued 
material simply prepares a new issuance for incorporation within the 
series without carefully integrating it with the related material. This 
also happens when the related material affected by the new issuance can 
be modified only with some difficulty. Rather than reconcile that 
material, the new issuance is simply added on to the end or in some other 
manner released as a separate item. In addition to resulting conflict 
or confusion, another disadvantage is that the reader's convenience of 
reference is reduced, for he has a greater number of chapter headings 
to examine before he can feel assured that he has consulted all related 
material. 

From a positive standpoint, the chief advantage of the modified 
Dewey system presented here is- that it compels the logical ordering and 
interrelating of information. Under this system, all breakdowns of any 
one heading are limited to a maximum of nine topical breakdowns and one 
general breakdown. Any of these breakdowns can be subdivided in turn but 
in no case can there be any more than nine subdivisions of equivalent 
stature. This compression of data into a maximxam number of parts compels 
the subject matter analyst to discipline his thinking and to order all 
material to its most logical place in the total pattern. 

In explaining this system in detail, the format of an individual 
circular will be used to explain the application of the numbering system 
to a complete manual or series of manuals. 

Numbering, Headings, and Indentation 


1. General 

The following material describes: (a) a flexible numbering system, 
(b) the use and style of headings, and (c) the spacing and indenta¬ 
tion of procedural materials. 

2. Numbering System 

2.1 Function of a Numbering System 

A numbering system is used for convenient reference. If every 
paragraph is numbered it is easier to refer to "Section 2.12" 
than to refer to "the second paragraph of Section 2.1." To¬ 
gether with their indentation, numbered paragraphs reveal at a 
glance the relationship between individual items. The system 
must be flexible so that changes or additions can be made 
readily. A numbering system should also aid in the logical 
ordering of related information. 






- 27 - 


2,2 Nimbering of Orders and Bulletins 

2.21 The subject matter of an order or bulletin can be broken 
down into not more than nine divisions. If this seems 
restrictive, it should be observed that the Dewey deci¬ 
mal system used by libraries divides all knowledge into 
one general category and nine major subject categories. 
Each of the primary divisions of an order or bulletin 
is represented by a whole number. For example: 

1. General , 2. Numbering System , 3- Headings , etc. 

^2.22 Subject breakdowns under each of the main headings are 
shown by the addition of decimal digits to the primary 
numbers. For example: ”2. Numbering System” is sub¬ 
divided into three secondary headings identified as: 

2 .1 Function of a Numbering System , 2.2 Numbering of 
Orders and Bulletins , and 2.3 Numbering of Manuals . 

The number 2.1 means the first breakdown imder 2, while 

2.2 and 2.3 represent the second and third breakdowns 
under 2. In order to subdivide a breakdown it must 
have two or more subdivisions. 

2.23 This process of numbering subdivisions can be carried 
out indefinitely. Thus, 2.2 Numbering of Orders and 
Bulletins has been subdivided into 2.21, 2.22, 2.23, 

2.2^, 2.25, and 2.26. In each case, the final decimal 
digit indicates the relationship of the paragraph to the 
topic represented by number 2.2. Thus, 2.21 is the 
first breakdown under 2 . 2 ; 2.22 is the second breakdown 
under 2.2, etc. In the interests of simplicity, how¬ 
ever, breakdowns should be confined whenever possible 

to two decimal places. Occasionally three decimal places 
may be used, 

2.24 Lower case Roman letters may be used to itemize a 
series of statements. This is a simple means of 
listing items in a check list, or items in a state¬ 
ment of duties and responsibilities. For an example, 
see Section 4,1 of this material. 

2.25 A period always follows a primary number, whether or 
not it is followed by decimal digits. However, deci¬ 
mal digits will not be followed by periods. The typist 
will merely skip two spaces and begin the heading or 
body. 

2.26 Whenever a topic is subdivided, no text appears under 
such a topic. In part, this is due to the factor of 
ease of reference. For example: if reference is made 
to Section 2, all of the subdivisions are included 
within the scope of the reference. If reference is 













- 28 - 


made to Section 2.2, the subdivisions 2.21, 2.22, 2.23, 
etc. are included. If, hovever, a paragraph of text 
were to appear between 2 and 2.1, the reader could not 
know if the reference is to that paragraph alone or 
to all of the text covered by that heading. 

2.3 Numbering of Manuals 

2.31 A manual numbering system merely builds upon that 
applicable to orders and bulletins. The section num¬ 
bers are expanded to indicate chapters and major chap¬ 
ter breakdowns. Volume numbers may also be Included. 

2.32 For example, a personnel manual might be divided into 
the following chapters: 

000 General 

100 Position Classification 
200 Salaries and allowances 
300 Employment 
400 Changes in Status 
500 Terminations 

600 Personnel Transactions and Records 
700 Attendance and Leave 
800 Employee Relations 
900 Employee Training 

The first cipher for General and the Initial digit in 
each case represents a chapter of the personnel manual. 
Each chapter is subdivided into sub-chapters, indicated 
by the second digit, as in the following example. 

400 Changes in Status 
4l0 Promotion 

420 Within-Grade Salary Increases 
430 Transfer 
440 Reduction in Grade 
450 Suspension 

460 Loans to Other Organizations 

470 . 

480 . 

^90 Other Changes in Status 

The individual sections and subsections are then repre¬ 
sented by the third digit and additional decimal digits, 
as explained in Section 2.2 of this material. Thus, 
the first digit of Section 421.3 refers to th© chapter 
on Changes in Status; the second digit 2 refers to the 
sub-chapter on Within-Grade Salary Increases; the third 
digit 1 refers to the main topic. Regular Annual In 
creases; while the decimal digit 3 refers to the spe¬ 
cific subsection being cited. Section 421.3, Effecting 
Regular Annual Increases. 





- 29 - 


2,33 If desired, the reference can be expanded to cover 
volmne or part numbers. If the personnel manual is 
Part II or Volume II, it can be represented as such, 
or it can be represented with the overall number 2000 
which would than be subdivided as in Section 2.32 of 
this material. Or the prefixes I, II, III, etc. can 
be retained to designate separate volumes, each having 
its own complete decimal series. 

3. Headings 

3.1 Function of Headings 

Headings are reference keys to the subject matter of a pro¬ 
cedure. A brief, descriptive heading tells us at glance 
what is covered in the material which follows. The position 
of headings helps show subordinate relationships of sections 
and sub-sections. Headings also relieve the monotony of 
solid t 3 rpewritten matter. It is not necessary that every 
paragraph have a heading; see 2.21 - 2.26. In a sequence of 
paragraphs, however, either all should have headings or none 
should have. 

3.2 Types of Headings 

3.21 Side Headings. Side headings are used for numbers not 
followed by decimals, as in the case of 1. General , 

2. Numbering System , etc. They are also used for num¬ 
bers with one digit following the period, as in the 
case of 3.2 Types of Headings . These headings are on 
a line by themselves. 

3.22 Paragraph Headings . In the case of any headings nec¬ 
essary for further breakdowns, the text should begin 
on the same line as the paragraph heading. There will 
be a period after the heading, followed by two spaces. 

3.3 Capitalization and Underlining 

All Bide and paragraph headings will have initial capitals 
only. The main topic heading of the procedure will be In 
full capitals. All headings will be underlined. 

4. Spacing and Indentation 

4.1 Importance of Appearance 

In addition to aesthetic value, the physical arrangement of 
typewritten reading matter is important because: 

a. The solid page of typewritten matter is monotonous with¬ 
out headings and indentations; 













~ 30 - 


b. Headings dress up the page as well as draw attention to 
the content of paragraphs; 

c. White spaces provide resting places for the eyes; 

d. Indentations of paragraphs and tabular matter relieve 
monotony, inject white space, and draw attention to 
subject matter relationships; 

e. Uniformity of arrangement suggests that we do things in 
a business-like way. 

4.2 Spacing 

4.21 Paragraphs will he separated by a single space. A 
heading will have one space between it and the para¬ 
graph above. It will also have a space between it 
and the paragraph below, unless it is a paragraph 
heading. 

4.22 Numbers and letters will be separated from the head¬ 
ings or text which follows by two blank spaces. 

4.3 Indentation 

4.31 Numbers of the same magnitude ai’e parallel in the margin. 
For exfimple, the nuiabers indicating Sections 1,2,3, ^tid 

4 of this material are directly under each other. The 
numbers 2.1, 2.2, 2.3, 3*1, 3-2, 3.3, etc., are indented 
and are directly under each other. 

4.32 Paragraphs are typed in block style. The second line 
of the paragraph begins even with the first* letter of 
the first line. 

4.33 Subordinate sections are indented. For example. 

Section 4.31 begins immediately under the first let¬ 
ter of the heading Indentation. ' 

Tlie identification of pages is a separate problem. Conventionally, 
pages are numbered in sequence as 1, 2, 3, 4, etc. This is obviously 
not practicable for a looseleaf manual. Accordingly, various systems 
have been devised for stretching the page numbers to permit insertions. 
For example, if three pages are to he inserted between pages I 52 and 153, 
they would be inserted as I 52 .I, 152.2, and I 52 . 3 . Further insertions 
between 152.1 and 152.2 would be numbered I 52 .II, 152 . 12 , I 52 .I 3 , etc. 

It is apparent that this or any similar scheme is cumbersome. Moreover, 
it obliges the reader to understand two systems of numbering rather than 
one. It is suggested that the page identification consist of the numbers 
of the first and last sections on the page. 





- 31 - 


The decimal numbering system is also recommended for the text of 
circulars. If the system is similar to that used for the manual, it will 
facilitate the incorporation of circular material into the manual. 

Another common plan of numbering circulars is through alternate use of 
numbers and letters as follows: 

I. 

II. 

A. 

B. 

1 . 

2 . 

a. 

b. 

( 1 ) 

( 2 ) 

(a) 

(t) 

( 1 ) 

(il) 

The circulars themselves can be numbered in arithmetical sequence, 
together with the series identification. This is the simplest method 
for ease of reference, especially for the user who need only ask for 
"circular 42" or "administrative order 23." It also assures the reader 
that he has all materials if he has all numbers in sequence. From the 
standpoint of the procedures staff, the desirability of bringing related 
materials together within the framework of a logical subject matter 
outline suggests the assignment of a schematic number to the circular, 
from such an outline. The schematic numbering system might be similar 
to the modified Dewey system, or any other suitable system might be 
used. There is no reason why both methods cannot be used together, the 
schematic number being used as a file reference. 

There are cases where a purist adherence to rules of division 
result in cumbersome numbering. With experience one can devise methods 
for avoiding congestion in a numbering group. One can also avoid 
excessively long numbers to the right of the decimal point. Generally, 
the numbers to the right of the decimal point should be kept to not more 
than two, although there are times when three digits will be unavoidable. 
In devising a numbering plan, some provision should be made for future 
expansion and insertion. 




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- 33 - 

III MECHAMCS Am SPECIFICATIONS 


The mechanical side of designing and reproducing instructional ma¬ 
terials is more than a matter of assigning numbers and affixing signa¬ 
tures. The design features of an instruction should contribute either 
to its use or reference value. 


Manual Design 

A permanently bound manual requires, as its means of identifica¬ 
tion, a title page, a table of contents, munbered chapters, numbered 
pages, and an index. In addition, there may be a preface and a letter 
of transmission or authority. The looseleaf manual, however, is based 
on the expectancy of constant addition, deletion, and revision. It 
must therefore be organized to permit ready insertion and removal of 
materials and flexible Identification of them. A looseleaf manual 
should really be a book in constant state of revision, retaining all 
of the cohesiveness and reference devices of a bound book. 

Principles of design. The guiding elements in the design of a 
looseleaf m^ual are: [TX ease of reference, (2) ease of revision, 
and (3) readability. 

1. Ease of reference is made possible through: (a) logical 
organization, (b) numbering of volumes, chapters, and 
sections, (c) tables of contents, (d) Indexing, and (e) 
page Identification. 

2. Ease of revision is accomplished through a looseleaf format, 
with additions, substitutions, and deletions of pages. 

3. Eeadability is achieved through suitable typography, anple 
spacing, judicious use of headings, use of short paragraphs, 
and indentation. 

The manual must be designed, however, within the limits of available 
funds and reproduction facilities. Aspects of presentation, typo¬ 
graphy, and reproduction will be discussed further below. 

General arrangement. A manual usually will have an arrangement 
such as the following: 

1. Cover 

2. Letter of transmittal 

3. Table of contents 

^4-. Plan of the manual 

5. Individual chapters 





- 3^ - 


6. Appendices 

7. Index 

The cover should be of distinctive design, its motif in keeping 
■with the nature of the manual’s contents. There is a reference ad¬ 
vantage in having the various manuals of an organization visually 
distinguished from each other. A desired manual can be identified 
readily when it is one of several on a desk or shelf. 

The letter of transmittal is customarily signed by a ranking 
officer of the organization, often the head man himself. This letter, 
■vrLth a facsimile signature, lends an air of authority. Indeed, this is 
a convenient place in which to cite legal authorities upon which the 
manual may rely in order to carry effect. 

The table of contents is simply the master outline of the manual. 
Ordinarily it should show only such detail as is necessary to convey an 
idea of the general location of broad subjects. If it is too detailed, 
it will result in unnecessary page revisions. A breakdown through 
chapter or sub-chapter headings is about the limit. 

Each separate manual should have an explanation of the general 
plan of issuing, revising, maintaining, and using the manual, from the 
standpoint of the reader. An explanation of the numbering system should 
be included, explaining-how to insert pages, how to find specific refer¬ 
ences, and how to find broad subjects under a logical subject matter 
plan. The description of the numbering system in the previous chapter 
might be modified for this purpose. 

Each separate chapter should begin on a new page, "with its title 
prominently displayed. A new page should also be started for each new 
section, as represented by a whole number, without decimal digits, 
unless brief materials warrant printing of as many as two or three 
sections on a page. This is important for one should avoid as much as 
possible the reprinting of unrelated matter falling on the same page 
when a revision is to be made. In addition to mechanical difficulties 
of page revision, there is too often a tendency to'tinker with the 
other matter simply because it is to be re-run also. The effect may be 
to delay the original subject of revision or to give insufficient atten¬ 
tion to the additional matter on the same page. Charts, work flow 
diagrams, and other helpful illustrations should be included generously 
within the body of the text, either as supplements to, or substitutions 
for, the written word. The Chinese say that one picture is worth ten 
thousand words'. A convenient way of numbering illustrative material for 
manual insertion is to give it the number of the section of reference, 
e.g.. Exhibit 227.3* If there are several pages to the exhibit, they 
might be numbered in sequence Exhibit 227.3A, Exhibit 227.3B, etc. 

The appendix material of a manual can include any bulky bodies of 


- 35 - 


reference material. A common example of this is the forms appendix 
which may he a simple collection of forms or an illustrated series of 
pages showing each form and explaining its use and preparation. 

The index is the detailed alphabetical guide to the contents of 
the manual. It should include every topic of any importance. The index 
should he revised and republished frequently. This task will he simpli¬ 
fied if a master file card index or visible index system is revised 
currently with each new issuance. 

Page arrangement. Each page of the text should contain the follow¬ 
ing for ease of reference: 

1. The title of the manual and volume niunher, if any, printed at 
the top as a running head. 

2. The identification of the page in the outside comer at the 
top, showing the first, the first and last, or all sections on 
the page, as preferred. 

3. Numbered sections and paragraphs identified with suitable head¬ 
ings, whenever headings are necessary. 

4. The dates of original issuance and subsequent revisions at the 
bottom of the page, together with the numbers of the transmittal 
letters. 

5. An asterisk or other symbol to identify new or revised material 
on an insert page, next to the reference number or numbers in¬ 
volved . 

The special design factors bearing on readability and ease of refer¬ 
ence are: 

1. The type face should be clearly readable at arm's length, 
whether a typewriter face or printer's type is used. 

2. Paragraphs should be short to allow generous amounts of blank 
space on the page. 

3. Subordinate paragraphs should be indented to show visually the 
relationship of material on a page. 

4. Paragraphs should not carry over to another page, to prevent 
two pages from being rerun when a single paragraph is revised. 

5. Headings should be distinguished from the text by type varia¬ 
tions or by underscoring of typewritten heads. 

6. Ample margins should be used to enhance readability and to per¬ 
mit the m'aking of marginal notes. 



- 36 - 


7. The originally issued pages should have deep hottom margins ho 

allow room for expansion of text. 

The bach-up of pages is usually desirable in order to reduce the 
bulh of a manual and also from the standpoint of economy. This should 
not be done when frequency of revision is a factor or when the material 
on the second side would not be a continuation of the first. In such 
cases, unnecessary reprinting of the second side may occur during re¬ 
visions . 

Size and binding. A convenient page size is ordinary letter size, 
either 8^ x 11 or 8 x 10-^. Either size permits the inclusion of forms 
and other illustrations. Size is governed, however, by the convenience 
and manner of handling by the user. The letter size is standard for 
office operations. 

The looseleaf binder should permit the pages to be opened so that 
they lie flat. The binder should be easy to open so that new material 
can be inserted and old material deleted quickly. The standard three 
ring looseleaf binder is commonly used. If larger than one inch capacity, 
it should be designed to prevent tearing. A series of binders may be 
necessary if one alone is too bulky. 

The practical aspects of designing the size and format of a manual 
are discussed in the following description given by an officer of a 
national direct-to-home-grocery sales organization. 

We have never had in one place, in one book or manual, 

instructions and information about all factors of the "_job. 

Our most recent effort and nearest approach was a three-ring 

leather binder entitled "The _ Job." Booklets on various 

parts of the job were then published. These were punched to fit 
the binder. 

The various booklets were beautifully done. As time went 

by the route manager gradually collected in his "_Job 

binder an assortment of booklets about the job. These booklets 
were all full page size - 8-|" x 11". The size and quality of this 
set-up made it a parlor piece. It was something the route manager 
left at home on the parlor table - something he showed visitors. 

It was entirely too big and too pretty for him to take out on the 
route. 

A manual, in my opinion, is a job tool. Like any tool its 
primary purpose is to help the craftsman, in this case the sales¬ 
man. We don't sacrifice utility to beauty in a hammer or a saw. 

We shouldn't in a manual. When the two go together - utility and 
beauty - that's fine but in a tool, utility is foremost. I believe 
the most beautiful manual is the one that's tom, battered and dirty 
because the man has found it practical and helpful and has used it 
on the job. 






- 37 - 


Our first thought then was to pick a size our men could and 
would carry and use. We gave a lot of thought to pocket size. 

That's convenient, hut we decided few men would want to carry a 
manual, even a good one, in their pocket day in and day out. 

Our men have ten route hooks, one for each day of two weeks 
of operation. Those route hooks contain customer accounts. The 
page size is V x 9k" • They fit an end compartment in our route 
basket. They fit the glove compartment in our route cars. They're 

a size and shape _men have carried and used on the Joh for 

45 years. 

Eureka'. That was the size and shape for our route manual. 

Philip Cahot of Harvard once talked on "The Elusiveness of the 
Obvious." He was right. 

In addition, our route hooks are loose leaf. They must he 
in order to add and remove customer accounts. We insisted that 
this manual must he loose leaf. Changes are ahead and we don't 
want our manual made obsolete overnight. That works out fine; 
we even have a supply of extra route hook covers to use for the manual. 

Circular Design 

The general principles applicable to the design of a loose-leaf manual 
govern the design of a circular release with modifications as described 
below. 

General arrangement. The general arrangement of an individual cir 
cular embodies the following: 

1. A distinctive heading identifying the specific circular series 

2. A title and identifying serial number. 

3 . The date of Issuance, 

4. A general statement which could include background remarks, 
purpose, applicability, responsibilities, and effective date. 

5 . The text of the circular. 

6. A statement as to materials superseded, revised, rescinded, 
or supplemented. 

7 . The signature and title of the approving official, (optional) 

8. Indexing references (optional) 

9 . A list of attachments or appendices. 






- 38 - 


Page arrangement. Each page should he numbered in sequence. The 
general format of the circular shovn in the preceding chapter is sug¬ 
gested. It is not necessary to have an identifying date on each page. 
Page numbering can simply be in arithmetic sequence. Illustrations 
can be inserted freely, identified by page numbers, also in arithmetic 
sequence. 

Size and binding. The standard letter size is recommended. The 
pages should be stapled once in the upper left hand corner. They should 
be punched for a three ring looseleaf binder. 

Pevisions and Current Maintenance 

From the moment a policy or procedure is fixed on paper, influences 
are already at vork vhich result in change of the official line. It is 
this constant flux in any organization that is behind the concept of the 
revisable manual. 

Manual revisions. The specific objective in maintaining a revisable 
manual on a current basis is to reflect in vriting as closely as possible 
or desirable, the current official position on matters of policy and pro¬ 
cedure and to preserve for audit and future reference the policies, pro¬ 
cedures, and criteria of the past. 

The term "revision" refers to any change in the manual, whether by 
addition of new material, change of existing material, or deletion of 
obsolete or rescinded material. 

The first task of adding new material is the assignment of a 
section number, if the material is new. The important factor is that 
the material being added must logically belong where it is placed on the 
basis of primary emphasis. For example, there may be a tendency to 
load fiscal details in a personnel part of a manual, instead of handling 
them by cross reference. 

When old sections are discarded, the section numbers generally 
should be left vacant. If later assigned to different material, con¬ 
fusion might result because of existing cross-references. If a head¬ 
quarters manual and a field manual are organized according to a parallel 
plan, both manuals should be checked before assignment of section 
numbers. It will be found difficult, however, to maintain parallel 
structure below the deciles, i.e., 2^0, 260 , 270 , etc. 

The table of contents and the index should both be noted for any 
necessary revisions. The sections being revised o^ added should be 
marked by an asterisk or other symbol and the page should be dated at 
the bottom. When an old page is reprinted with changes on it, the dates 
of original issuance and subsequent revision should also be shown at the 
bottom of the page. 






- 39 - 


A file should be maintained of pending minor changes which do not 
in themselves justify issuance of a manual revision. This file should be 
consulted for items which might be included in pages which are to be 
revised or issued as inserts. Any clearances of the pending changes 
should be obtained in advance whenever possible in order to minimize the 
risk of delaying the more important material in clearance. In addition, 
other sections on the page should be checked for typographical corrections, 
accuracy of cross-references, changes in title or location, and other 
minor changes. 

All suggested revisions and all revisions being duplicated sho\ild 
be noted in a master copy of the manual. This assures at least one 
complete reference source of pending material. 

The revisions may be released for distribution as they occur or they 
may be held and released at regular periods. The advantages of immediate 
release include the satisfaction of the desires of the initiating office, 
emphasis upon a single subject, and the prompt dissemination of needed 
material. The advantages of periodic releases are consolidation of 
changes, a "breathing spell" for employees whose normal reaction is to 
resist innovations from their established routines, and the fixing of 
regular effective dates. 

All inserts for the looseleaf manual should be issued under cover 
of a revision notice. The functions of a revision notice are to indicate 
the nature of the revision and, when identified by a serial number, to 
assure the manual holder that he has received all material issued. A 
break in sequence of the numbered revision notices would automatically 
signal the absence of material. The revision notice or transmittal 
letter should include: 

1. An appropriate subject heading. 

2. A date and serial number. 

3. A summary explanation of the revision explaining its purpose 
and its effect upon existing practice. 

4. Temporary information which should not become part of the 
basic text, including transitory instructions and background 
data. 

5. An effective date, if other than that of the revision notice, 

• ‘ 

6. The signature of the approving official (if desired). 

7. A listing of pages to be removed with a parallel listing of 
pages to be inserted. 

8. A listing of circulars or other materials superseded or 
modified. 


- 4o - 


The date of the revision notice should he the same as the date of 
release printed on each page. This date may automatically he the 
effective date unless otherwise specified in the revision notice. The 
revision notice should contain a statement that it is an official part 
of the manual and should he retained on file. 

Circular revisions. Circular materials are released as new circu¬ 
lars, as complete revisions of existing circulars, or as supplements or 
amendments to existing circulars. The problem of integration into a 
system does not exist unless the circulars are numbered according to the 
logical arrangement of a master subject outline. The incorporation of 
pending changes is a factor, although this also is simplified. Circu¬ 
lars are usually released upon approval. A transmittal notice could he 
used to advantage for temporary information, hut this is not often 
necessary. 

The following rules may he useful: 

1. After about two or three amendments or supplements have been 
released, the next release should probably constitute a 
complete revision. 

2. An amendment or supplement should not be amended or further 
supplemented, but should be replaced entirely. 

Maintenance aids. A check list of current materials assures manual 
and circular holders that their sets are complete as of the date of the 
check list except for missing items which can be requisitioned. The 
frequency of issuance will depend on the rate of release of manual re¬ 
visions and circulars. In a new organization the release may be as 
frequent as once each month. The check list should be issued under 
cover of a revision notice. 

The check list may merely include materials issued since the last 
previous one or it may include all current materials. It seems prefer¬ 
able to do the latter. For a manual, the list should itemize all pages 
together with their dates. A circular check list would include the . 
number, name and date of each current circular. It is obvious that the 
check list must be carefully prepared and reviewed against a current 
set. An incorrect list would cause every manual and set of circulars to 
be correspondingly incorrect. 

A "check-off" list might be included in each manual showing the 
numbers of revision notices or transmittal letters in sequence, for 
initialing as received, in order that missing items may automatically 
be noticed. 


Copy Preparation 

The ordinary typewriter is the most common machine for preparing 
copy for reproduction. In addition to its ready availability, no special 





- 4l - 


skills are required ‘beyond ordinary training in use of the machine. The 
typewriter keys must not have "been worn off in use. For the typing of 
stencils and direct image offset plates, a machine with elite type is 
usually preferred. When preparing copy for photo-offset reproduction, 
the copy can "be typewritten on a larger page size for a one-eighth re¬ 
duction to ordinary page size. This makes a very attractive page and 
also conserves space. 

Special typewriters have "been designed for copy preparation which 
employ a variety of type faces and which enable the typist to justify or 
even out the right margin. These machines require a double typing opera¬ 
tion, however. The "Varityper, manufactured by the Ealph C. Coxhead 
Corporation uses replaceable type fonts, any two of which can be kept on 
the machine at one time. The International Business Machines Company 
makes the proportional spacing typewriter which gives to each character 
its proportionate amount of space on a line, thus giving the copy a 
printing type appearance. On the ordinary typewriter, the letter i or 1 
tsikes as much space as m or w. The proportional spacing machine is avail¬ 
able in various type faces, but type is not replaceable on the machine. 

A separate machine is needed for each face. 

Before any copy is sent for publication, an editorial clerk should 
make one final review. All items should be checked, of course, but 
special attention should be given to the date of release, the identi¬ 
fying number, and the approval authority for release. 

Methods of Eepreduction 

The three methods of office duplicating which are most common are 
the stencil, offset, and spirit processes. The following factors which 
determine the choice of a suitable process should be considered: 

1. Available equipment. 

2. Quantity. 

3. Time table for issuance. 

4. Cost. 

5. Need for re-runs. 

6. Use to be made of material. 

a ( 

7. Questions of appearance, permanence, and bulk. 

Stencil duplicating. In the stencil process, commonly known by the 
trade name "Mimeograph," a tough fibrous stencil is "cut" on a type¬ 
writer. Illustrations, rules and signature can be cut by hand with a 
stylus. The stencil is mounted on a rotary cylinder. As sheets of paper 
feed through the machine, the pressure upon contact forces ink through 




- 42 - 


the cut portions of the stencil to reproduce the image. Depending upon 
the quality of the stencil and the image cut on it, as many as 10,000 
impressions can be made from a single stencil. The stencil can also be 
preserved for future re-runs. Once the stencil is cut it can be run 
immediately. The cost is low for small quantities, but for quantities 
of 3,000 to 10,000 it offers insufficient cost advantage over offset 
reproduction. If the stencil breaks, it must be recut completely. The 
paper is porous, bulky, and unattractive. 

Offset duplicating. The offset process is a lithographic process. 
Photo-offset involves the photographing of. any typewritten, printed, or 
drawn copy and the fixing of the image on a flexible metal plate which 
is then mounted on a rotary cylinder. The image is then transferred by 
chemical-mechanical means to sheets of paper. Direct image plates can 
also be made by typewriting or drawing directly on special paper or 
aluminum plates. The image on a photo-offset plate can be reduced from 
the original; on a direct image plate it is necessarily the same size. 

With a skilled operator as many as 50,000 copies can be reproduced from 
a photo-offset plate. If the plate is injured, a new one can be made 
quickly from the negative on file. Direct image plates have varying 
capacities up to about 50,000. They require delicate handling and, if 
injured, must be retyped or redrawn completely. Re-runs can be made with 
both types. The initial cost of the photo-offset process is greater than 
the stencil process since a photo negative must be made, film blemishes 
must be opaqued, and a metal plate must be processed. The additional 
cost is absorbed by quantity runs. The use of a bond paper with a hard 
surface makes the copies more durable. It is also more versatile and 
attractive, since it can reproduce photographs, fine lines, and special 
drawing effects. The photo-offset process takes longer than stencilling, 
because of the plate-making involved, unless the copy is already pre¬ 
pared. In that case, it is more economical since it saves typewriting 
time. For illustrations and forms it is ideal. 

The spirit process. The spirit duplicating process is the familiar 
hectograph in modem dress. The image on the master sheet is composed 
of an analine dye base. The typist uses a special backing sheet similar 
in effect to carbon paper as the means for fixing the image on the master. 
The master is mounted on a cylinder or drum and moistened each revolution 
with a quick-drying spirit fluid. The image is off-set on sheets of 
paper as a vivid purple. The process is not any more economical than 
stencilling. The maximum quantity, depending on the quality of the master 
is about 200. Reruns can be made. Preparation of the master is not 
favored by typists who dislike the propensity of the unsightly aniline 
color for getting on their skin and clothes. One advantage appears to 
be speed and convenience, for the machine can be operated easily in an 
office. Another advantage is that the distinctive color can be used to 
identify drafts and preliminary materials. 

Letterpress. Occasionally, it may be desirable to have materials 
printed from regular type. This method provides great flexibility in 
choice of type styles and in design. It is used for unlimited runs and 
when an air of permanence or formality is desired. 





- 43 - 


IV THE FUNCTION OF PEOCEDURAL COORDINATION 

The preceding discussions of the use and design features of 
instruction systems have not been related to the matter of responsibility 
for execution of an instructions program for the reason that the tech¬ 
niques and their value may be applicable under various conditions with¬ 
out regard to the services performed by a procedural coordination unit. 

The concept of such a unit has been an evolving one. In many organiza¬ 
tions great strides have been made in recognizing the special coordinating 
and promotional services which may be rendered by such a unit, in con¬ 
trast with the gradually disappearing view that its function is to edit, 
assign numbers, reproduce, and distribute. The discussion which follows 
will cover the special objectives and tasks of a procedural coordination 
unit, its authorities, its organization, its staffing, and its relation¬ 
ships. 


Objectives 

A procedural coordination unit has at least four major objectives: 

1. The bringing together of the viewpoints of affected organiza¬ 
tional units so that the final expressions of policy and pro¬ 
cedure would be products of the organization as a whole. 

2. The provision of a channel for the presentation of proposed 
policy and procedure statements to higher authority for con¬ 
sideration and final decision. 

3. The effective presentation, coordination, and control of 
written policy and procedure, including the organization of 
appropriate release series, looseleaf manuals, and handbooks; 
the establishment of standards of written presentation; and 
the issuance and distribution of policy and procedural 
materials. 

4. The effectuation of new policy or procedure so that the 
intent of the written word will actually be translated into 
reality. 

Supplementing its major objectives, a procedural coordination unit will 
usually have the following secondary objectives: 

5. The provision of a central reference service on current and 
previous regulations. 

6. The provision of an interpretation service with reference to 
the intent of policies and procedures. 

7. The historical documentation of organization, policy, and 
procedures. 




- 44 - 


As a working tool, in addition to an operating service, a procedural 
coordination unit may often be responsible for: 

8. The review and control of all printing and duplicating from the 
standpoint of propriety, adequacy of clearances, economy, and 
priority. 

9. The control and standardization of forms. 

In discussing these objectives, particularly the first four, an effort 
will be made to relate their significance to certain fundamental charac¬ 
teristics of people in work groups. 

The clearance process. Relating the parts to the whole. The 
people who work in an organization are generally drawn to it because they 
are interested in its purposes and generally they are selected - at least 
in the more responsible positions - not merely because they have abili¬ 
ties which are in demand but because of their interest in the organiza¬ 
tion. When a new organization is created, the people brought together 
for a common objective must establish group working practices. They are 
aided in establishing working codes by their similar professional 
interests and the likelihood that some of them had previous relationships. 
In time, group working practices are established; those who conform re¬ 
main, while those who cannot adhere to the group pattern usually eliminate 
themselves. 

In an international organization, whose employees come from the 
various member nations, it is much more difficult to establish group 
working practices. Differences in language or language usage are not 
the only barriers. Peoples of different countries have different work¬ 
ing habits and tempos, different concepts of administrative practice, and 
different reaction patterns to given situations. Eventually adjustments 
are made, but the process of building the organization is a longer and 
more painful one. 

In the pursuit of organizational objectives, division of labor is 
of course necessary. Major objectives are subdivided into many contrib¬ 
utory objectives. Similarly the organization as a whole is subdivided 
into smaller groups of workers for the attainment of these sub-objec¬ 
tives. Although the members of the individual work units are loyal to 
the overriding objectives of the total organization, their primary 
sense of loyalty and their most intimate understanding of operations 
rests with the immediate work units of which they are parts. Thus, the 
worker is most closely attached, in understanding of operations, if not 
in general loyalty, to the immediate unit or section of which he is a 
member. His next larger area of attachment is the branch or division 
which includes his immediate unit. Beyond this is his own bureau and 
then the total organization. 

When the individual’s loyalties and understandings are translated 
into tangible proposals for new policy or procedure, the tendency is 



- 45 - 


for him to overlook or ignore the interests of other work units with 
which he has no contact or to which he feels no attachment. This may¬ 
be simply from ignorance, or it may be a deliberate act of internal 
organizational competition. Earely, however, can one part of an organi¬ 
zation function of and by itself. Its work methods affect, and are in 
turn affected by, the activities of other parts of the organization. The 
many interrelated work operations must be coordinated with the general 
objectives of the organization in mind. The individual work units do 
not have the perspective nor do they have the means for resolving 
differences with other units. It is evident, therefore, that over-all 
coordination is necessary. 

The form of over-all coordination determines the form and functions 
of a procedural coordination unit. As in political organization, so 
also in a private or public organization, there are opposing doctrines 
of authoritarian and democratic rule. The "strong man" type of execu¬ 
tive believes in making decisions on a personal basis without reference 
necessarily to the recommendations of subordinate staffs. Expedience 
is his watchword. The fallacy of his approach is that unless those 
affected by decisions have a determinative voice in their shaping, they 
will not lend their wholehearted support to them. They may, in some 
cases, even frustrajte the accomplishment of desired procedural objec¬ 
tives . The firm principle applies that rules derive their authority 
from the consent of the governed. 

To summarize, an important objective of a procedural coordination 
unit is to provide machinery to assure that new statements of policy 
and procedure are fitted into the total pattern and that in their 
preparation all affected units of the organization are given a voice. 

Channel of presentation. A second objective relates to the manner 
in which basic policy and procedure are presented for the consideration 
of top executives. It is fully as important as the bringing together 
of group recommendations. It requires, for its proper appreciation, a 
discussion of the ordinary phenomena of subordinates competing for the 
attention of their chieftain. 

It has already been mentioned that while individuals in an organi¬ 
zation generally have its total objectives in mind, they are apt to 
attach undue importance to their own functions, to which they are 
closest. The top executive, however, must give to each component 
function its due place, if he is to maintain balance. In part he attains 
this in the area of formal policy and procedure through the use of 
formal clearance machinery. There are always some few individuals, how¬ 
ever, who prefer for reasons of their o-wn to rely upon their personal 
efforts in obtaining consideration of policy matters. Unfortunately, 
there are also those who believe that the way to obtain action is to 
rush a paper under the eyes of an executive in an effort to obtain his 
signature, whether or not he understands fully the proposal and its 
implications. 



- k6 - 


The objective of a procedural coordination unit, therefore, is to 
assure top cominand, as well as all others concerned, throughout the 
organization, that proposed statements of policy and procedures will 
be presented for consideration in the most effective and equitable 
manner. This, of course, places upon this unit a responsibility for 
the most ethical standards of operation. 

In presenting proposals to a busy top command, it is necessary to 
distinguish readily the basic policy or procedure, so that executiTes 
can get immediately to the heart of the problem. The wheat must be 
separated from the chaff. Divergent views must be set forth clearly 
and fairly for resolution by top command. Attention must be directed 
to the effects upon past, present, and future policy or procedure. 

A unit which has general survey of the total organizational situa¬ 
tion can appreciate the timing of proposals, and can reflect this in 
their presentation for consideration. Moreover, a procedural coordina¬ 
tion unit can serve as a screen to assure that only such matters that 
require top executive consideration are referred for such consideration. 
It can also discourage the presentation of improperly considered pro¬ 
posals . 

Effective Issuance. The third objective is to publish officially 
approved policy and procedure in the most useful and effective manner. 
This objective relates to the form and distribution of materials. The 
discussion in the preceding chapters should be sufficient for explana¬ 
tion of this objective. The procedural coordination unit is the focus 
for administering the over-all system of the total organization. Since 
all organizational units contribute toward the release of instructions, 
the procedural coordination unit prescribes and enforces uniform stand¬ 
ards of presentation so as to assure proper integration. It must also 
develop systems for controlling distribution which will insure that the 
releases go to the people who are to be guided by them and that they 
receive them consistently and promptly. 

Making policies and procedures work. The entire process of formu¬ 
lating and publishing instructions can be of little value if there is 
no follow through to see that they are placed into effect. This would 
require little discussion were it not for the fact that in so many cases 
mountains of instructions are issued without their intent ever being 
translated into reality. If an instruction of any kind is to be 
realistic, it must be based in the first instance upon a knowledge of 
the situation to be governed thereby. In part this need is provided 
through the clearance process already described. Knowledge of the 
situation is also provided through a flow of information to the pro¬ 
cedural coordination unit from headquarters and field offices. Other 
means are through visits to the field and direct interchange of person¬ 
nel between a procedures unit and operating divisions, both at head¬ 
quarters and in the field. 




- 47 - 


It has been pointed out also that people are not inclined to comply 
with instructions with which they do not agree or in whose formulation 
they did not participate. The clearance process in this case contributes 
to later compliance, at least on the part of the organizational units 
represented in the clearance process. 

Much depends upon the mechanics of distribution. A report, for 
example, can not come into a headquarters office by a certain date if 
the instruction regarding the report is received subsequent to that 
date. The effective date of instructions must be geared with the 
amount of time required for distribution. The distribution system 
itself must insure that copies are sent to the proper people and that 
they are also given assistance in maintaining current manuals. 

One must consider also the effect of new material upon the re¬ 
cipients. A new statement of policy or procedure is usually a change 
from previous practice or the lack of previous practice. It is easier 
to introduce new practice, starting from "scratch", than to ask employees 
to discard old habits and adopt new ones. This is no slight task, for 
people generally tend to adopt a philosophy of "we’ve always done it 
this way’ and to view innovation with suspicion. Changes of almost any 
type are also frequently attended by an element of insecurity among those 
affected. 

A procedural coordination unit is therefore a convenient central 
point to work closely with staff and line agencies to assure the proper 
follow through. It may have to give assistance in applying instructions 
to local situations. It may have to participate in training conferences. 
In every way, it must refer to published materials in an effort to get 
people into the habit of using official source material. 

Reference service. There should be at least one authoritative 
point of reference for all regulations, present and past. Questions 
arise as to (a) the regulations which existed as of a certain date in 
order that a case going back to that date could be decided; (b) the 
issues which arose prior to final decision on a particular policy 
statement; (c) whether certain subjects had ever been considered or 
are currently being considered; or (d) simply what the current regula¬ 
tions are. The procedural coordination unit, being intimately associated 
with the facts, falls naturally into this responsibility. 

Interpretation service. The objective of providing an interpreta¬ 
tion service is to maintain consistency of intent. The intent of the 
framers of regulations is not always apparent, due to the inadequacies 
of the written word or, at least, to the nomal difficulties which 
people have in expressing themselves correctly in writing. There are 
those, also, who prefer to read other meanings into regulations where 
the flexibilities of language permit. As in the case of its reference 
function, the procedural coordination unit, being familiar with original 
intent, is a logical place for this responsibility. 




- kS - 


Historical documentation. When a new organization is established, 
it cannot be known with certainty that all of its functions will be 
continued under its auspices so long as they are performed. The organi¬ 
zation might later be divided into two or more separate organizations 
or certain of its functions might be reassigned to other organizations. 
The functions of the entire agency could be absorbed into another organi 
zation. Many of the policies and procedures of an organization are de¬ 
termined in the course of daily operation without ever being committed 
to writing. It is useful to reduce them to writing for the benefit of 
successor agencies, for historians and for future auditors of operations 
It is also useful to have a documentation of past and present practice 
to serve as a basis for future planning within the organization. 

Forms control. The inclusion of a forms control program within a 
procedural coordination \init has two aspects. Through review of new 
forms, it is possible to get into procedures which might not otherwise 
come to the attention of the unit. The forms analyst can then work in 
collaboration with the procedures analyst functionally concerned. In 
addition, economies and improved management should result from more 
efficient design, consolidation and elimination of forms, and control of 
quantities. 

Printing control. A control of all printing and duplicating is 
maintained for two reasons. In terms of the major objectives of a pro¬ 
cedural coordination unit, the review of requests for printing and dupli 
eating is expected to bring to light materials of a policy or procedural 
nature which should be referred for general clearance by the unit. The 
review factors include propriety, consistency with policy, adequacy of 
clearances, number of copies, plan of distribution, and method of dupli¬ 
cating. Thus, incidental to control for policy and procedure, economies 
and improved standards of presentation are sought. In order to enforce 
its control in this manner, the unit must also review requests for the 
purchase and allocation of duplicating equipment for use outside of the 
central reproduction shop in order to insure that their use will be for 
approved purposes. 


Authority for Operating 

The written authorities which a procedural coordination unit should 
have, in order to function properly, include: 

1. A general statement of functions such as might appear in an 
organization manual. 

2. A regulation or procedure governing the control, clearance, 
approval and issuance of policy and procedural materials at or 
from headquarters. 

A regulation or procedure governing the control and standard¬ 
ization of forms. 


3. 






- 49 - 


4. A regulation or procedure governing the control and review of 
requests for printing and duplicating and of the purchase and 
allocation of duplicating equipment. 

5. A regulation or procedure governing relationships of field 
offices with headquarters on policy and procedural matters and 
directing the establishment of procedures functions in field 
offices. 

Statement of functions. An example of an organizational statement 
of responsibility is as follows: 

The Procedural Coordination Unit shall be responsible for: 

a. Establishment and maintenance of manuals and other appropriate 
media for the promulgation of all policy statements, orders, 
regulations, operating procedures, and instructions: (l) for 
headquarters personnel and (2) from headquarters to regional 
and other field offices. 

b. Review or preparation of all such policy or procedural materials 
to assure consistency with the overall pattern, to provide 
personnel throughout the organization with essential policy 
statements and instructions for their operating guidance, to 
avoid the issuance of conflicting, incorrect or irrelevant in¬ 
formation, and to assure clarity of presentation and adequacy 
of details. 

c. Clearance of proposed releases with appropriate offices, prior 
to issuance, to determine legality, timeliness, feasibility of 
proposals, relationship to established or conteirplated practices, 
etc. 

d. Through consultation and negotiation, resolution of differences 
arising out of the clearance process, and referral for adminis¬ 
trative decisions where reconciliation of major issues has not 
been achieved. 

e. Continuing review of major areas of policy and procedure and 
stimulation or initiation of policies and procedures to cover 
deficiencies in existing regulations. 

f. Maintenance of a procedural library to include all instructional 
releases issued by headquarters and field offices and analysis 
of their contents. 

g. Interpretation of the intent of policies, procedures, and regu¬ 
lations and preparation of rulings thereon for issuance through 
channels after appropriate clearance. 



- 50 - 


h. Installation and maintenance of a forms control and standardiza¬ 

tion program, and maintenance and control of a forms inventory 
and numbering system. ,,, , 

i. Review of material proposed for printing and duplicating to 
ascertain propriety, correctness of statements pertaining to 
policy and procedure, adequacy of clearances, reasonableness 
of quantity, and of method of reproduction and distribution. 

J. Preparation and supervision of current lists for adequate 
distribution of procedural materials issued by headquarters. 

In describing the content of the additional authorities which are 
required, it is important to emphasize that each organizational situa¬ 
tion requires individual analysis and treatment and that the following 
are merely suggestions. 

Operating regulation for headquarters. The regulation for control, 
clearance, approval, and issuance of instructional (or procedural) 
materials should contain: (l) a general statement of purpose, applica¬ 
bility, and of definitions; (2) descriptions and definitions of the 
approved categories of instructional materials, such as described in 
chapter II; (3) specific statements of responsibility for preparation, 
clearance, review, approval, and issuance; and (4) a statement as to any 
other services or facilities provided by the procedural coordination 
unit. 


A definition of regulations and instructions (or procedural mate¬ 
rials) might be worded as follows: 

1.3 Definition of Regulations and Instructions 

1.31 The term "regulations and instructions" shall be under¬ 
stood to mean: 

a. written statements of policy for administrative 
guidance and use; 

b. statements of specific processes or courses of 
action to be followed by designated organizational 
units or staff members in carrying out such policy; 

c. technical bulletins for the use of employees; 

d. announcements for circulation to staff members; and 

e. similar material designed for the instruction, 
information, or guidance of personnel at head¬ 
quarters or field offices. 




- 51 - 


1.32 The term shall include policy statements and instructions 
of general applicability (e.g., covering three or more 
missions or field offices,) even though the initial 
method of release is by cable or letter rather than as an 
integral part of the published series of releases. 

1.33 Tile term does not include press releases and information 
directed to the general public rather than to employees. 

With respect to preparation of materials, the regulation should 
provide that initiating offices shall be those offices vhich have the 
primary functional responsibility for the subject matter involved, even 
though two or more offices may be concerned. If several offices are 
involved to a degree where it is difficult to fix initiating responsi¬ 
bility, it should be vested in the procedural coordination unit. That 
unit should also be the initiator when responsibility for individual 
matters is not within the scope of other offices or when matters are 
prepared on behalf of the head of the organization. Provision should 
also be made for preliminary discussion, where appropriate, with the pro¬ 
cedural coordination unit regarding the anticipated form of issue, the 
desirability of advance clearance with other organizational units con¬ 
cerned, and the relationship of the proposed release to existing materials. 
The requirements for submission should be stated, including form of sub¬ 
mission, supporting documents, and transmittal in time for review, clear¬ 
ance, reconciliation of differences, approval, reproduction, and distri¬ 
bution. 

On clearance procedure, the regulation should permit developmental 
relationships and informal clearances by the initiating office with 
other offices, but it should expressly reserve the right of the pro¬ 
cedural coordination unit to obtain such additional clearances as are 
necessary. Offices which submit or clear materials should be required 
to advise the procedural coordination unit of the name of the officer 
or officers authorized to submit or clear materials within the scope of 
the regulation. The procedural coordination unit should be authorized 
to determine the offices from which clearances should be obtained on a 
selective, functional basis. It should review materials to assure con¬ 
sistency with the over-all pattern, clarity of presentation, and adequacy 
of details and to avoid issuance of conflicting, incorrect, or irrelevant 
information. The purpose of clearance should be stated to afford 
functionally concerned offices a similar opportunity of review. Pro¬ 
vision should.be made for time limits, and the assumption of approval or 
non-dissent when time limits'are not observed. 

Regarding differences of opinion and obtaining of approvals, the 
regulation should specify the role of the procedural coordination unit 
in attempting reconciliations or of referring differences up the line 
for determination. The regulation shall specify who shall give approval 
to different categories of materials. It should provide, whenever pos¬ 
sible, that the procedural coordination unit should have the authority 


- 52 - 


to approve for issuance any materials to "which all affected offices 
have given approval, unless for reasons of law or policy any matters 
should he referred higher. 

Control of forms. A regulation on forms management should specify 
the objective - to establish standards for the design and production of 
forms in the interest of economy and efficient use and to catalog forms 
within standard numbered series for convenience of reference and control. 
Forms should be defined as pieces of paper on which data and blank 
spaces are arranged to facilitate the gathering, transmitting, and pre¬ 
serving of variable information necessary to work operations. The 
responsibility for initiation and clearance should be stated in terms 
similar to those for other procedural materials. Approval should be 
vested in the procedural coordination unit with differences being sent 
up the line. 

Control of printing and duplicating. The regulation should provide 
for the control and review of all requests for printing, duplicating, 
copying or graphics senrvices and for the control of the purchase and 
allocation of duplicating equipment. The use and approval of a requisi¬ 
tion form should be explained. Approval officers should be limited in 
number and signature cards should be required from them. The criteria 
of review should be specified, including consistency with policy, pro¬ 
priety, adequacy of clearances, method of duplication, number of copies, 
and plan of distribution. Differences of opinion should be resolved by 
higher authority specified in the regulation. The purchase and assign¬ 
ment of duplicating equipment to units other than the reproduction unit 
should require the review of the procedural coordination unit. A pro¬ 
vision should be inserted limiting the use of such equipment to the 
purposes for which authorized and prohibiting use by other units. 

Field offices regulation. The regulations which are released by 
a headquarters office to its field offices covering the subjects listed 
above could go out as a single document or as a series of separate regu¬ 
lations. The provisions will vary depending upon the relationship of 
the field office to the headquarters and upon the nature of the field 
organization. For purposes of presentation, we Will assimie a field 
organization composed of regional and subordinate field offices. The 
following notes are based on the assumption that the headquarters office 
is communicating with the regional offices. 

The field regulation (or regulations) should include (a) a general 
statement covering purpose, applicability and definition of regulations 
and instructions (or procedural materials), (b) categories of official 
headquarters releases, described and defined, (c) categories of releases 
for issuance by the field offices themselves, (d) the general responsi¬ 
bilities of field offices in implementing the instruction program, 

(e) procedures for preparation, clearance and approval of local releases, 

(f) control of forms Issued in the field, (g) control of printing and 
duplicating in the field, and (h) establishment of local procedural 





- 53 - 


coordination units, where necessary (usually in regional offices having 
subordinate offices). 

A statement of general field office responsibility might be along 
the lines of the following: 

Responsibilities of Field Offices 

It shall be the responsibility of field offices generally to: 

a. Comply with the intent and spirit of established policy and 
procedure as expressed in headquarters releases and in im¬ 
plementing field releases; 

b. Recommend changes in basic policy and procedure, where de¬ 
sirable, to headquarters or to supervisory field offices, 
as the case may be; 

c. Furnish three copies to the procedural coordination unit, 
headquarters, of all field office releases; 

d. Establish procedural coordination functions of their own, 
whenever appropriate; and 

e. Make periodic audits of all manuals assigned to field employees 
to assure their current condition. 

Organization of a Procedural Coordination Function 

The size, organization, and character of a procedural coordination 
unit are influenced by the size, form of organization, and character of 
the total organization of which it is a part. If, for example, the 
over-all organization is new and dynamic, the procedural coordination 
unit must be staffed and organized for maximum flexibility. It will 
build its staff to a large peak and then taper off. The original staff 
may have to be of greater capacity than the maintenance staff. Thus, 
again, as with the planning of the written system itself, there is no 
set formula. Some consideration might be given, however, to such 
factors as location, relationships, and internal organization. 

Location. In view of the over-all coordinative responsibilities 
of the procedural coordination unit, within the conceptual framework 
which has been presented, the ideal location, conditions permitting, 
is at the center of day-by-day work coordination, the office of the 
top administrator or his deputy. This gives the unit a psychological 
as well as an over-all advantage. The procedures function should not 
be under the supervision of an official who has other operating 
responsibilities which are subject to the coordination of the procedures 
unit. Embarrassing situations might result if a unit having agency-wide 
coordinating responsibilities is subordinated to an official who has 
responsibility for only a portion of the agency's operations. 





- 5^ - 


As an alternative to reporting to the top executive, the procedures 
function might he grouped along with other coordination and review 
functions, under a deputy administrator in charge of planning and 
management. Such a group might include procedures, program planning, ad¬ 
ministrative management, budget planning, and related staff functions. 

This raises the question as to the manner in which the procedural 
coordination function should he related to an organization and methods 
function which is responsible for organization, staffing, and methods 
studies. A good case can he made for keeping the two separate, for even 
when they are together it is difficult to integrate the two. The making 
of surveys often results in written orders and procedures, hut that does 
not constitute procedural coordination of the type discussed here. 
Usually, an 0 and M division is organized into groups to correspond with 
the several major working areas of the organization. In theory, it is 
possible to have the analysts responsible for all phases of organization, 
methods, and procedural coordination work in their own areas. In prac¬ 
tice, an analyst may do excellent survey work hut may not have the in¬ 
sights and special skills of doing good clearance work. Or he may he 
deficient in his capacity for clear written expression. Perhaps these 
defects can he corrected through better recruitment and training. What 
happens, though, when emergency work loads cause reassignments? Does 
the part-time procedural coordination work go on the hook? There is a 
more important question, however, as to whether an organization and 
methods "generalist” can exercise the dispassionate judgments which are 
so vitally necessary. If he is a zealous proponent of his own proce¬ 
dural invention, can he also he the disinterested clearance officer? 

These and other problems are of sufficient weight to cause serious 
reflection on whether procedural coordination should or should not he 
part of a general 0 and M function. If it should be within an 0 and M 
shop, such problems must he considered in regard to internal organiza¬ 
tion of that shop. When procedural coordination is separate, it regards 
the 0 and M shop as a clientele and clearance office, like all the 
others. When the two are combined, there is a closer clearance relation¬ 
ship; also, opportunities for methods improvement can he referred more 
easily to the appropriate work area analysts. ) 

When budgetary responsibilities are included with procedural coordi¬ 
nation and organization and methods activities under a single leadership, 
even more careful attention must he given to allocation of supervisory 
and staff time. Budgetary administration has earned for itself the 
reputation of being a bottomless pit. No matter how much effort is 
thrown into it, there is always room for more. The practical urgency 
of getting dollars for operations compels the setting aside of other 
activities, often for long periods of time, no matter how profitable 
those activities might be in the long run. There is a grave question as 
to whether day-by-day budgetary work can be combined with broader aspects 
of organization and methods and procedural coordination activities. 



- 55 - 


Functional relationships. The responsibility of the procedures 
unit is to coordinate the efforts of others. If it is to accomplish its 
mission with a minimum of friction it must not usurp the planning 
responsibility of other functional units. It should encourage major 
organizational units to designate procedures specialists within their 
own areas of operation. It will dissipate its energies and incur enmity 
if it attempts to prescribe policy or procedure for them. Aside from 
the matter of relationships, policies and procedures to be realistic and 
effective should be prepared initially at the point of closest contact 
with the problems represented. 

In those bureaus or divisions in which the functions are sufficient¬ 
ly complex or extensive, one or more full-time procedures analysts might 
be assigned. Usually this is justified for complex operations such as 
personnel and finance, as well as for major operating units. Where full¬ 
time analysts are not justified, an officer having other duties should 
be assigned continuing responsibility for procedural planning and liaison 
with the central procedural coordination unit. 

Relationships must be based on the highest ethical standards. While 
it must not seek to impose its own views, the unit must not machinate 
for or against those of other units. While realistically it must be cog¬ 
nizant of the currents of office politics, it must refrain from taking 
any but a disinterested attitude towaia xiitrigues. When submitting pro¬ 
posed materials for higher staff review it must present the pros and 
cons, resulting from, clearance, in a complete and unbiased manner. A 
unit which conducts itself ethically will be taken into confidence and 
respected generally. If, on the other hand, it oversteps itself, it will 
quickly find itself unpopular. 

Field Office relationships. Headquarters-field relationships depend 
upon effective inter-communication. Field offices are expected to 
operate in accordance with standards published by and enforced by head¬ 
quarters. In turn, headquarters instructions depend for their realism 
and effectiveness upon a knowledge of field activities and problems. The 
headquarters procedures division must staff and organize itself so as to 
synthesize field experience with headquarters thinking. In practice, the 
obstacles to effective headquarters-field relationships grow in propor¬ 
tion to physical separation. The field office charges that the head¬ 
quarters office makes impossible demands and does not understand local 
problems. Moreover, headquarters is slow to act. On the other hand, 
headquarters charges the individual field offices with obstructionism and 
an inability to relate their efforts and practices to the larger objec¬ 
tives of the organization. Personal contact is vital to improvement of 
these relationships. 

If the general relationships of headquarters and field offices are 
satisfactorily established, there will then be little of a problem as 
regards the central procedural coordination unit. The following princi¬ 
ples must be established firmly; 




- 56 - 


1. Headquarters vill establish basic policies and procedures 
governing field operations, in collaboration with field 
offices. 

2. Field offices will comply strictly with the spirit and intent 
of headquarters instructions. 

3. Field offices will furnish all possible information to head¬ 
quarters to assist in making its field instructions as realistic 
as possible. 

4. Instructions to the field will be cleared through the proce¬ 
dural coordination unit; they should not be issued from a 
functional unit at headquarters directly to field offices with¬ 
out such clearance. 

Line of command relationships. Among the most important relation¬ 
ships of the procedural coordination unit, which can have a profound 
effect upon its operating effectiveness, are those which it has with 
superior officers in whom review or approval authority may be vested. 

The procedures unit must constantly be alert for attempts by over- 
zealous offices to by-pass the mechanics of procedural coordination by 
going direct to the top executive. Although the unit must constantly be 
selling itself to all new executives, it must give special attention to 
its own top superiors who cannot be presumed in all cases to be indoctri¬ 
nated with this specialized philosophy. 

Internal organization. The procedural coordination unit - it may 
actually be a division, branch, or section - should organize itself in 
most cases to correspond with a combination of major work areas of the 
agency and major work load. Its staff size will depend upon such 
factors as newness of program, rate of change, stability of organiza¬ 
tion, extent of field office activity, size of over-all organization, 
etc. These all manifest themselves as work loads and time limits. A 
pending load is lightened if time is extended for completion; it is 
heightened when time limits are compressed. The typical subject matter 
assignments to analysts are: 

1. Personnel 

2. Administrative services and controls 

3. Finance and accounts 

4. Reports and statistics 

5. Each operating program area 

If a large program requires a large staff with fluctuating work 
loads, a small pool of juniors might be kept available for transfer from 




- 57 - 


one activity to another. The ratio of juniors to journeymen or senior 
analysts should he small. One full-fledged senior can often do the work 
of several juniors. Not more than one or two trainees should he engaged 
at any one time in view of the excessive supervision they require. A 
sizeable supply of skilled stenographic and typing skill is needed for 
apparent reasons. 


Internal Activities 


A brief description follows for each of the following internal 
functions; 

1. Manual planning 

2. Forms control 

3. Printing and duplicating review 

4. Monitoring of outside releases 

5. Eeview of current regulations 

6. Publishing check lists of active regulations 

7. Maintaining distribution sets of regulations 

8. Maintaining master set of regulations 

9. Auditing of users’ manuals 

10. Preliminary review of incoming materials 

11. Editing and proofing 

12. Indexing 

13. Eeceiving and dispatching materials 

14. Maintaining status control 

15. Maintaining approval and reference files 

16. Distribution control 

Manual planning. After the outline headings of a revisable manual 
have been replaced by the actual written content, it becomes increasingly 
difficult to determine where to insert new materials in keeping with the 
master plan. In order to assure consistency of manual arrangement, con¬ 
tinuing responsibility must be fixed in one staff member. This may be 
the chief in a small office or, an analyst having other editorial duties 
in a larger office. 




- 58 - 


Forms control. The forms control unit is located in a procedural 
coordination unit primarily "because the analysis of forms affords an 
opportunity to examine the procedures represented "by the forms and to 
subject them to the clearance process. A separate forms unit is justi¬ 
fied when the volume of new and revised forms is large enough. In any 
event, each procedures analyst should be familiar with the principles 
of forms analysis and design, because forms within the respective sub¬ 
stantive areas listed above should be referred to the appropriate pro¬ 
cedures analyst for clearance. Sometimes it may be desirable to have 
the finished drafting done elsewhere, in a graphics unit. This has the 
advantage of keeping the size of the total staff down. 

Printing and duplicating review. The review of requests for 
printing and duplicating is also located in the unit as a means of 
assuring that policy and procedural materials will be subjected to necess¬ 
ary reviews and clearances. Functionally it can be associated with the 
forms unit since many of the criteria of review are similar. The refer¬ 
ral of questionable items should be to the procedures analysts covering 
the respective substantive areas. In a large organization it might be 
necessary to detail the review officer to the reproduction plant so that 
he could work "on location" without slowing the flow of requisitions. 

Monitoring of field releases. The releases of field offices should 
be read in order to detect any deviations from the line laid down by 
headquarters. A junior analyst should have continuing responsibility 
for reading such materials and referring them to the appropriate area 
analysts. In addition, a review must be made of communications to and 
from field offices. It may not always be practicable to review copies 
of telegrams, cablegrams and correspondence in the procedural coordina¬ 
tion unit. The unit should then have liaison arrangements with the mail 
and cable dispatch centers whereby they would refer to it any communica¬ 
tions not consistent with policy or procedure or which seem to require 
clearance. v 

Review of current regulations. Each analyst is expected to review 
the written materials in his area of specialization in order to eliminate 
obsolete materials or to change materials no longer correct. This holds 
with respect to the manual, administrative orders, and general bulletins. 
It is desirable, however, to fix responsibility in a junior analyst to 
see that this function is coordinated. The two succeeding activities 
may be assigned to the same junior analyst. 

Publishing check lists. As revisions are made in the manual and 
other instruction systems, and as materials are withdrawn, the holders 
of sets of these instructions require periodic lists to assure them of 
their current accuracy and completeness. 

Maintaining master set of regulations. At least one complete set 
of current regulations should be maintained for reference use. All 
previous versions of the regulations should also be maintained in the 








- 59 - 


binder, even though obsolete, for quick reference to the regulations 
existing as of any given time. The master set should include regula¬ 
tions which have been approved but not yet published or distributed. 

Maintaining distribution sets of regulations. The general responsi 
bility for distributing regulations should be that of the unit in the 
division of administrative services which maintains addressograph plates 
for other distribution purposes. It should maintain stockpiles of 
manual inserts and of other regulations in order to fill orders quickly. 
A certain number of manuals and sets of other instructions should be 
maintained up-to-date in accordance with the check list and subsequent 
releases. Where distribution facilities for compiling current sets are 
not available, the procedural coordination unit should compile at least 
enough sets to take caije,of special requests. This can be a fill-in 
assignment for clerical members of the staff. 

Auditing of users' manuals. Another fill-in assignment for Junior 
analysts or senior clerical staff members is to visit the holders of 
instruction sets to check on their current completeness. It will be 
found that a great many people tend not to keep current manuals either 
because of disinterest or because they never took the time to read the 
instructions for keeping them currently. 

Preliminary review of incoming materials. As proposed procedural 
materials come in, they should be given a quick preliminary review prior 
to assignment to an analyst. The review may be by the chief or his 
assistant but in any case there should be an additional check by a 
Junior analyst to relate the new material to anything previously issued 
or in process. 

Editing and proofing. Eesponsibility must also be fixed for the 
editing and proofing of materials before they are sent forward for 
approval and before final reproduction is authorized. An analyst should 
not edit his own material since he will tend to overlook his errors and 
blind spots. 

Indexing. The following types of indexes should be maintained; 

(a) an index of all regulations, regardless of form of issuance, (b) an 
index of the basic manual itself and of any other manuals, and (c) an 
index of reference materials, including important reports and correspond 
ence. The indexes to the manuals and to other systems of instructions 
should be prepared for release periodically to holders of instruction 
sets. In the initial stages of development, indexing can be a full time 
assignment for a Junior analyst. 

Eeceivlng and dispatching materials. All incoming materials must 
be time-stamped and recorded promptly, if they are proposed issuances. 
This is important to future relationships when it may be charged that 
the unit had been holding materials longer than actually the case. It 
is also necessary to fix the time of delivery of material going into 








- 6o - 


clearance, in order to forestall excuses that the material had been 
received late. Accordingly delivery should be by hand whenever possible 
rather than through messenger channels. The receipt of materials should 
be by a secretary or clerk in the main office. Delivery can be the 
responsibility of any available member of the clerical staff. In a large 
office a full time messenger might be justified. 

Maintaining status control. From the time a proposed issuance 
reaches the unit, or is initiated within it, a close record of its status 
must be maintained until the project is closed. This is chiefly for 
follow-up both within and without the unit. This can be the responsi¬ 
bility of an employee associated either with the receipt or dispatch of 
materials. 

Maintaining approval and general files. The official records of 
clearances and approvals must be filed in readily accessible form for 
reference. A recommended plan is to organize this file in accordance 
with the numbering system of the manuals and other instructional re¬ 
leases. This and other reference files should be under the exclusive 
control of a single clerical employee. 

Distribution control. A master distribution list of procedural 
materials must be maintained current at all times. A distribution clerk 
should be designated and made responsible for keeping in touch with 
organizational changes, space moves, and any other activities that would 
reflect on the list.' • 

Qualifications and Selection of Staff 


The supply of skilled analysts with a grasp of the philosophy and 
the techniques of procedural coordination has always been poor. This 
may be due to such causes as; (a) the absence heretofore of an accepted 
body of principles and techniques for use in training, (b) the relative 
newness of the concept of procedural coordination, and (c) insufficient 
understanding of the concept. The apparent prevalence of the last 
(which is a reflection of the first two causes) is evidenced by the many 
applicants for procedural coordination positions whose claims for con¬ 
sideration rest upon their having written some procedures or having 
made procedures surveys . These applicants usually do not understand that 
what is needed is a grasp of the methods by which different items of 
subject matter can be ordered to a logical pattern, by which various 
interest and viewpoints can be integrated, and through which offices 
can be stimulated into filling instructional gaps. 

The nature of the work to be performed in a central coordinating 
office requires an exceptionally high caliber of procedures analysts. 

The following requisites are suggested even though it is obvious that 
some of them will be difficult to evaluate in an applicant. 








- 6l - 


Abstract intelligence - An ability to analyze situations, to see 
relationships, and to synthesize or relate facts quickly. 

Social intelligence - An ability to perceive the niceties of 
personal relationships, to manage people, to do the right thing. 

Intuitive powers - An ability to "play by ear", to see the impli¬ 
cations of proposals and situations, to sense what is appropriate with¬ 
out other apparent reason. 

Education preparation - Preferably, although not necessarily, a 
liberal arts college degree. Training in public administration might 
help, depending on the courses taken. The importance of a college 
degree is that it is presumed that the graduate has been subjected to 
mental disciplines, that he has spent four academic years in gathering, 
analyzing, and organizing facts. 

Writing facility - An ability to present information clearly and 
precisely, with an economy of word, directly, and skillfully. 

Stability - An ability to work under pressure or slack. 

Specialized knowledge - If a journeyman, a working knowledge in one 
of the substantive areas. Otherwise a division of procedures tends to 
be overloaded with specialists or professed specialists in personnel, 
administrative services, management analysis, and budgeting. 

The personal interests of the applicant, while not conclusive, 
often suggest creative capacity. This includes creative writing, photo¬ 
graphic, home workshop, painting, and other creative hobbies. The inter¬ 
view relationship may reveal a quick perceptive quality of mind, an 
ability to grasp and relate details to generalities. 

Training of staff - The training of the staff members should em- 
phasizel (l) versatility, (2) broad knowledge of the organization’s 
objectives and activities, and ( 3 ) increased responsibility. Above all, 
the training of each employee should be regarded as a separate program, 
for no two employees are likely to require identical training. 

Versatility may be promoted through variety of tasks, rotation from 
one set of assignments to another, and direct training in specific pro¬ 
cedural techniques. 

Breadth of knowledge of organizational objectives and activities is 
important if analysts are to be able to relate their tasks to the over¬ 
all objectives. It extends also to an intimate knowledge of the work of 
the analysts’ own division. Some useful training techniques include (a) 
regular staff meetings, (b) circularization of a daily "floater" file 
containing copies of division correspondence and procedural materials in 
process, as well as other useful material, and (c) attendance at report 
meetings and luncheons and at conferences of other bureaus and divisions. 










- 62 - 


Increased responsibility should be given to clerical and steno¬ 
graphic members so that the more promising ones will have an opportunity 
for advancement to junior analyst positions. Junior analysts should be 
apprenticed to journeymen but should not exceed a ratio of one junior to 
one journeyman. A complex, non-routinized activity such as procedural 
analysis requires a large degree of supervision. Too many trainees will 
therefore draw too much time of senior staff away from productive work. 

Beyond these brief remarks, the usual techniques of supervision and 
training are fully applicable and thus need not be repeated here. 


irsi 






- 63 - 


V. INSTALLING A NEW PROGRAM 


One might presume that the establishment of a procedural coordina¬ 
tion unit implies full recognition of its value and its role. Sometimes 
this is the case, yet so often it means only that the idea has obtained 
a foothold—a probationary period as it were. Perhaps it may mean even 
less, that an officer with sufficient authority was personally sold and 
was able to obtain budgetary provision for the function. But perhaps only 
he was sold. 


The Strategy of Selling a New Program 

In the first chapter we discussed the advantages of a system of 
procedural coordination and of instractional manuals in themselves. These 
advantages furnish sales arguments. Yet, in the face of resistances also 
discussed in that chapter, one must plan carefully the strategy of selling 
and installing either an entire new program or a new part of an established 
program. 

In planning a new program, it is generally good strategy to seek out 
the most favorable lines of attack and to concentrate on these in order 
to make a good showing which will both set a precedent and help melt down 
resistances. The approach is to seek out; 

1. Key officials in sympathy with the idea of manuals—officials 
in a position to make determinations for operations under their 
supervision. 

2. Operations or activities for which there is a prima facie need 
for written documentation of method. 

3. Relatively new areas of activity in which the resistances of age 
will be at a minimum. 

4. Operations or activities which lend themselves to dramatic im¬ 
provement through written instructions. 

5. Subjects which lend themselves to attractive presentation with 
diagrams, work flow charts, etc. 

6. Operations in organizational areas which are able to contribute 
their own efforts ,to the project. 

7. Any combination of the foregoing factors. 

Building upon a successful foothold, one can go to increasingly more 
difficult areas of operation. In fact, what one attempts is an encirclirig 






- 64 - 


operation in which finally the centers of resistance are completely 
surrounded. Each organization is, of course, a matter for separate 
strategic analysis and treatment. 

Having determined upon possible areas of "infiltration", a selling 
approach must he worked out which is tailored individually in each case. 
Experience may demonstrate that it is easier to sell a solution to a 
tangible situation than an idea in abstract. Stated otherwise, don't 
sell theoretical benefits; sell solutions to troublesome problems*. 

Applying this thought further, if top level approval is needed for a 
specific manual project, it is better to present a prospectus already 
agreed to by all the principals than to offer an idea to top management 
which it is expected to purvey to others through written fiat. Such a 
prospectus might cover background of need, scope of the manual, tentative 
contents, preparation, clearance, and approval arrangements, and distribu¬ 
tion arrangements. 


Compilation 

The process of compilation will vary according to the age of the 
organization and the condition of its previously issued materials. In 
a new organization much of the process is the collection of materials 
issued by related organizations. At a later stage in its development, the 
new organization must compile its own hastily issued instructions with a 
view to their coordination and control. In an old organization, compi¬ 
lation can be a long, exhaustive—and exhausting—process. 

If it were to accomplish nothing else, compilation serves as a dis¬ 
ciplined self-appraisal which usually leads to better understanding within 
the organization, improvement of practice and discontinuance of obsolete 
practices, forms, and reports. Let us assume in the material below that 
we are dealing with the problems of a well established organization. 

Organization of a compilation project. The procedural coordination 
unit should enlist the participation of representatives of all the major 
units which are concerned in the compilation of a new manual. Such repre¬ 
sentatives are of course the most qualified judges of the materials within 
their scope. Their democratic participation paves the way for later 
clearance. Moreover, the use of operating personnel serves to augment the 
procedures staff temporarily thus relieving it of the necessity of building 
1 large initial staff which later has to be trimmed down. The number of 
people required for compilation will be governed by the extent of the 
problem and the time within which the project must be completed. The 
iivisional representatives can be organized into a committee with a 
secretary--furnished by the procedural coordination unit--or they can 
’unction simply as separate representatives of their own imits. In some 
;ases, it may be necessary for the procedural coordination unit to furnish 
i procedures analyst to do the initial work of compilation. Often this is 




- 65 - 


necessary vhen a new program is being launched as an "advertising" aid 
for the procedures unit. The practical obstacle to this, of course, is 
the limitation of available staff. 

Sources of data . The first source of data will be the formal records 
of organization, policy, and procedure, as set forth in previously released 
manuals, circulars, organization charts, functional statements, forms and 
flow charts. Informal records which might reveal useful data are corre¬ 
spondence files, reports of conferences and meetings, position descrip¬ 
tions, budget documents, and regular and special work reports. 

There is always a substantial body of unrecorded practice which should 
be drawn upon. One means of codifying such practice is to make systems 
surveys directly. Another means is to request employees to fill out 
detailed duties questionnaires. Gaps which it is proposed should be 
filled are revealed also by the clearance of the compilation outline. 

Another approach, very much down to cases, is to collect evidences 
of confused practice, inadequate instructions, etc., as expressed in 
inquiries from the field or as apparent from a knowledge of operations. 

The material collected must then go through the following typical 
steps; (l) selection of pertinent data and exclusion of non-usable data, 

(2) grouping of selected data under outline headings, (3) production of a 
clearance draft, and (4) clearance, approval, and issuance. 

Screening of data . As a first step, all obsolete, obviously tran¬ 
sient, and non-pertinent data must be screened out and disposed of. The 
remaining material should then be subjected to the following test for 
inclusion in the manual; 

1. Are the materials generally applicable or are they basic parts 
of the operations being described? 

2. Do the materials have reasonable stability or permanence? 

3. Do the materials have a substantial reference value? 

Grouping of selected data. The inclusion of material within the 
preliminary outline should be by topic and reference to the source. The 
actual material itself should not be incorporated until a fairly final 
outline has been determined upon. It will be found, as the preliminary 
outline is filled in, that the working outline will undergo many modi¬ 
fications, splitting of topics,, and relocations. In the constant rearrange¬ 
ment that goes on it is far easier to move topics than the actual text. 

A detailed discussion of organization and arrangement of content appears 
in chapter II. The techniques of outlining are discussed in Chapter VIII. 

Production of the first draft. As the actual materials are incor- 
porateT into the outline, the analyst will observe many opportunities for 


1 








- 66 - 


improvement. As a general rule, the objective is to include existing 
materials as they are, with suitable editing. It is much easier to obtain 
clearance and final approval if the stipulation can be made that the 
compilation represents existing practice. Attempts to resolve conflicts 
or to make improvements should be avoided unless agreement can be effected 
quickly. Since the manual is looseleaf, the material in question can be 
held up and issued as an addition or revision. Similarly, any attempt at 
perfectionism or completeness in the first instance should be avoided. A 
very few items in dispute can hold up the entire project. 

Clearance and approval. It is not necessary to wait until all 
material has been compiled and incorporated into a clearance draft. It 
is generally desirable to place in clearance any reasonably complete parts 
which can stand on their own. The clearance request should state the 
sources of all material included and stipulate that the entire material 
should not be held up by any items in question. These can be held for 
later reconciliation and issuance. The approval request should also con¬ 
tain a similar stipulation. When the material is approved and issued, it 
should be accompanied by a check list showing the materials superseded 
thereby. 


Issuance and Installation 


When a new manual publishing project is undertaken, it may be well 
to discuss its production problems with the reproduction and distribution 
branch. An understanding should be reached on the initial bulk production 
and on subsequent transmissions. If possible, a regular schedule should 
be worked out. It would be well at this point to find out about the 
available equipment and service of the plant and its special operating 
requirements. On the other hand, this is an opportunity to explain the 
procedural coordination approach to the chief of the plant. If necessary, 
a formal priority understanding should be reached. Even though delays in 
issuance may be laid to the reproduction plant, the cause will not be 
apparent to recipients of the material who will place blame on the proce¬ 
dural coordination unit. 

The installation into practice of new instruction materials is 
discussed at greater length in chapter VII. A few remarks are nevertheless 
appropriate at this point. The release of an entirely new manual or system 
of manuals provides an opportunity for leading off on new training programs. 
The new material in bulk acts as a sort of psychological "gimmick", indi¬ 
cating a break with previous practice, an introduction to new practice, 
a major review of existing practice. The procedural coordination unit can 
cooperate with training officers and interested operating executives in 
timing and conducting training conferences built around new manuals. 




- 67 - 


Chapter VI. CLEAEANCES, APPROVALS, AND ISSUANCES 


The heart of procedural coordination is the elegance process. It 
is the means hy vhich democratic processes are brought to hear in the 
formulation of procedural materials. It requires the most delicate 
handling at all stages. The materials placed in clearance are not life¬ 
less; they represent the personal feelings--sometimes quite strong--of 
their authors. To he successful, procedural coordination units must 
recognize the human elements implicit in every document. 

Necessity for Clearance Controls 

The objectives of clearance have already been discussed. In review 
they are; 

1. To refer proposed procedural materials to interested officials 
in order to obtain any useful comments which will contribute 
to the formulation of effective proposals. 

2. To coordinate viewpoints and resolve differences at subordinate 
levels in order to relieve higher officials. 

3. To assure top approving officers, in a disinterested manner, 
that full staff work is represented in procedural materials 
submitted for final approval. 

k. To submit for top level determination any unresolved differences. 

In practice one finds it necessary to hammer away constantly at 
those objectives and their rationale. The following excerpt from a 
memorandum written by the author may be of appropriate interest at this 
point as a summary of the clearance and approval procedure. It was 
entitled "Work Methods of the Procedural Coordination Staff". 

As a basic approach we attempt to provide an overall framework 
for the housing of a system of integrated policy and procedure. We 
expect the functional units to come up with their parts for in¬ 
clusion within this system. When they do come up with something, 
we then move into the really vital part of our function which is to 
assure top executive staff that anything submitted for approval 
represents completed staff work. This operates as follows: 

I ‘ 

a. A proposed policy statement comes in for issuance. 

We make such preliminary reviews as are necessary. This 
includes comparisons with existing and previous policy. We 
consider implications upon present and future policy. We may 
consider propriety, timing, etc. At this stage we try to 
resolve any questions with the initiating office. 




- 68 - 


b. When we place materials in clearance we select only 
those officers who have a major operating or functional concern 
with the subject matter. Sometimes, as in the case of personnel 
regulations, we give fairly general clearance on the theory 
that everyone is affected. While we try to include everyone 
who has a bona fide clearance interest in a particular matter, 
we deliberately do not include people who do not have a basic 
functional interest. (Enough cooks to make the broth but not 
too many to spoil it.) Frequently we have to rewrite completely 
the material which is submitted for clearance; sometimes, due to 
staff limitations, we have to pass over that step and catch 

up with it after clearance. 

c. After materials come back from clearance, we identify 
any outstanding differences and attempt a resolution of them 
at that stage. This may be by conference or by reclearance. 

d. We then present for top approval agreed upon drafts, 
identifying for top review any outstanding differences which 
must be resolved for any deviations from policy which require 
consideration. Sometimes, when we have obtained agreement on 
a procedure for which governing policy has already been estab¬ 
lished, we are able to release the material on our own authority 
in accordance with specific delegation from the Chief Executive 
Officer to us through channels. 

e. Finally, we release the material in the most effective 
manner, either as an order or as part of one of the basic 
manuals. 

The foregoing is a general description of how we operate when 
people send us material for clearance. It would be ideal if that 
were a general situation. We don't like to go into the writing 
business. We deal in substance, not in words, and prefer to have 
other people do the preliminary thinking and writing for which they 
are responsible. Sometimes we have to jump in and dig and write 
ourselves. This occurs -vdien: (a) the matter does not fall within 
the single or primary jurisdiction of any other office; (b) the 
office having functional responsibility is physically not able to 
do the initial work; (c) the office having functional responsibility 
just won't come up with usable material. 

The usual reaction by offices which have initiated procedural materials 
is to want to avoid any delays in their issuance. The clearance process 
is apt to be regarded as a red tape delay. In some cases, resistance may 
be translated into a zealous desire to evade clearance requirements. 

Evasion may of course be due to ignorance but in its willful forms it is 
expressed in (l) the disguising of procedural materials so that by their 
format they do not appear instructional; (2) the direct presentation of 
proposals to top officials for referral to the division of procedures as 


- 69 - 


an accomplished fact ready for issuance; (3) the publication of policy 
and procedure through regular correspondence, telegram, and cable chan¬ 
nels; and (4) the effectuation of policy and procedural changes vlthout 
resort to written instructions - the de facto approach. 

While the procedural coordination unit should exert every effort to 
convince officials that the service it performs is time-saving in the 
long run, it must also realistically enforce its clearance requirements 
through appropriate controls, discussed later in this chapter. 

Clearance Systems 

The choice of a clearance method is governed by the necessity for 
reaching units quickly and obtaining their views with a minimum of 
delay. The method must facilitate the resolution of differences and 
the incorporation of agreed contributions. Each of three tried methods 
vill be described - conference clearance, written clearance in sequence, 
and concurrent written clearance - but it is the last which is recom¬ 
mended as the general method. 

Conference clearance. Clearance of materials through conference is 
suggested when the subjects are complex or involve significant new policy 
on which exchanges oT views are desired. The conference is expected to 
bring out useful information which might not otherwise be elicited through 
written clearance. It is expected to bring conflicts into focus and 
whenever possible to serve as a means for resolving them. The common 
disadvantages of conferences are fully applicable here, (l) They tend 
to be time-consuming to a degree not warranted by the results; (2) the 
participants are frequently ill-prepared for discussion; (3) individual 
personalities, particularly those of top executives, tend to dominate; 

(4) nothing seems to be accomplished, etc. Conference clearance should 
usually be restricted to the reaching of informal understandings, to be 
supplemented by formal written clearance. 

The criticisms of conferences can be offset by effective leadership. 
The leader must have a facility for conference management. He must be 
able to keep the discussion off any sidetracks that lead away from the 
main line topic. He must maintain balanced participation. Since he is 
interested primarily in coordination of facts, he must steer the discus¬ 
sion away from debates over language, restricting it to substance alone 
and leaving to the procedural coordination unit the responsibility for 
putting substance into words. 

Prior to the conference, drafts for discussion must be sent to all 
participants in sufficient time to allow considered review. Too much 
time must not be allowed or the materials might be forgotten or set 
aside. After the conference, the procedures unit should prepare a 
draft of agreed material for formal written clearance. Unresolved con¬ 
flicts can be presented as alternatives. 






- 70 - 


Sequence clearance, A method sometimes used is to circulate one 
copy of a proposal in sequence from one name to the next on the list of 
clearance officers. Each person is expected to approve or make such 
comments as he deems appropriate. This technique is not recommended 
for the following reasons: (l) The method is excessively time-consum¬ 
ing. (2) The sense of responsibility of each recipient is weakened; 
those listed at the top may rely on subsequent clearances, while those 
listed toward the bottom may assume that adequate review has already 
been made. (3) VThen clearance comments are made, those yet to make 
clearance tend to rule on the comments rather than to concentrate on 
the original material. (4) The same laborious circuit must be travelled 
when materials require re-clearance. The method necessarily applies 
when materials move up the line of command. It should be avoided when 
prompt, considered review is desired. 

Concurrent written clearance. The generally preferred method is to 
send an individual copy of the proposed material simultaneously to each 
of the organizational units having a legitimate interest in it, fixing 
reasonable time limits for review and return. It has the advantages of 
speed and of fixing individual responsibility. The discussion which 
follows is based on the use of this method. 

Clearance Mechanics 

Pre-clearance controls. The clearance requirement should be en¬ 
forced from the earliest. If members of the organization feel that 
they can avoid the requirement, it will soon be weakened. Some of the 
physical controls that can be used are: 

1. The review of all requests for printing and duplicating as a 
means of identifying materials that should be submitted for 
clearance. 

2. The reading of copies of incoming cablegrams to identify 

matters on which replies should be prepared and placed in 
clearance. i 

3. The review of outgoing telegrams, cablegrams and correspondence 
at the point of dispatch to identify matters of a policy or 
procedural nature which should be submitted for clearance. 

4. The standardization of the format of instructional materials 
and the schematic numbering thereof by a central procedural 
coordination unit as a means of causing them to be channeled 
through that unit. 

The physical controls listed above must be supplemented by such con¬ 
tinued efforts of the entire procedures staff as follows: 


1. The chief of procedures should enlist the whole-hearted 






- 71 - 


support of top executiyes. He should obtain their agreement 
to a relationship whereby proposed procedural materials are 
referred to the procedural coordination imit for clearance 
prior to final action, in any case where they have not already 
been'cleared. Much depends, of course, upon the working habits 
and attitudes of top officials. 

2. New officials in the organization should be indoctrinated with 
the objectives of the procedural coordination unit. 

3. Procedures staff members should pick up leads through their 
general liaison and awareness of organization activities. 

Leads are also picked up in budget reports, work reports, and 
other documents. 

4. The procedural coordination unit should be represented in pre¬ 
liminary discussions of proposed procedural materials so that 

it will be aware of their pending status and be ready to process 
them properly. 

Responsibility for initiating . The responsibility for initiating 
procedural materials is primarily that of the functional division having 
operating responsibility. Such a division might have its own procedures 
analyst who would work closely with the unit or individual directly 
responsible for the subject matter represented. In any case, the initi¬ 
ating unit should designate a clearance officer who might be either the 
chief or a designated officer. The procedural coordination unit must 
insist on having clearance officers designated who have sufficient status 
and authority to speak for their offices. 

In some cases, the procedural coordination unit will seive as 
initiating unit. One clear case is where the matters involved are not 
within the scope of any other unit or official. Another frequent case 
is where the matters involve inter-relationships of several functional 
divisions. The procedural coordination unit also takes initiative where 
other divisions do not accept or exercise their responsibility. Its 
effort in the last case should be to see that current procedural require¬ 
ments are met, but tliat appropriate units will assume responsibility in 
the future. 

Pre-clearance handling . When proposed materials are received in 
the unit they are usually processed quickly through a routine which 
includes (a) recording of ai*rival, (b) examination of the proposed 
material to see’whether it was submitted by an authorized clearance 
officer of the initiating bureau or office, and (c) preliminary review 
by the chief of 'the unit and by an editor to fix the assignment and to 
relate to it‘ any other materials of which the working analyst should be 
aware. 


The factors of review by the procedures analyst to which a new item 




- 72 - 


is assigned are: 

1. Consistency with the over-all pattern of policy and procedure. 

2. Eelationship to other materials in process, already issued, or 
superseded. 

3. Adequacy of content. 

4. Propriety and feasibility. 

5. Timeliness. 

6. Clarity of presentation. 

7. Suitability of the proposed form of issuance. 

As an aid to review, the analyst will study the unit's own files 
for background. He may consult other analysts and the unit chief. If 
necessary, he will go out of the unit and consult with the initiators 
or anyone else who might contribute information. Sometimes he might 
make discreet inquiry among top management officials to ascertain their 
reaction. This is done, for example, when it is felt that placing 
certain materials in clearance might not be wise. General strategy will 
be mapped out within the unit at this time, to determine whether any 
pending related materials should be brought up, the timing of the pro¬ 
posal, what rewriting may have to be done, whether rewriting should be 
done before or after clearance, etc. 

Most of the proposed materials originating outside of the unit re¬ 
quire some rewriting. Some must be completely reorganized and rewritten. 
In favor of clearance before rewriting is the ability of the unit to 
demonstrate that it does not hold materials long. In favor of rewriting 
prior to clearance is the desirability of sending out the actual document 
as it is proposed that it finally appear. On short documents, rewriting 
before clearance should not take long and is therefore advised. On long 
documents, the decision must be based upon the actual urgency of the 
material, the length of time required for rewriting, and the necessity 
for rewriting. In general, if the materials are reasonably suitable for 
clearance, the rewriting should be done after clearance, even though a 
second clearance might occasionally be required. 

In not all cases will proposed materials actually go into clearance. 
The procedural coordination unit is responsible for seeing that some 
materials are discouraged in the interests of good administration. These 
materials arise, for example (l) when a general, and costly regulation is 
proposed to take care of an exceptional situation; (2) when proposals 
are unenforceable; ( 3 ) when officers or employees become literarily 


- 73 - 


effusive in an effort to show productivity or to draw attention to the 
importance of their work; (4) when the proposals are in poor taste; and, 
without exhausting the examples, (5)- when the materials proposed have 
already heen covered sufficiently. As the situation governs, such 
materials have to be discouraged, whether by humor, convincing argument, 
or by flat declination. Naturally, such situations require discreet 
handling. The unit must not "kill" proposals by simply "sitting" on 
them. Any obstruction of this sort is probably in poor Judgment; the 
unit should meet these situations squarely. There will be other cases, 
of course, when material may be returned to the originator for further 
development and resubmission. 

In some cases, materials will be suitable for direct release or for 
higher approval without the necessity of, clearance. This is a matter of 
Judgment for the procedural coordination unit and should not be the 
practice in any case unless it is quite clear that other offices are 
either not involved or do not have a bona fide interest in clearance. 

Selection of points of clearance . It is the responsibility of the 
procedural coordination unit to obtain an intelligent and considered 
review of proposals. Its Job is not well done if it merely obtains a 
signature certifying to clearance after a perfunctory review. Nor is 
its Job well done if it fails to submit materials for clearance in such 
form that useful review can be made. 

Clearance must be extended to those having a bona fide interest in 
the proposed material for one or more of the following reasons: 

1. They are to take some form of action as a result. 

2. They are technical authorities on the subject matter involved. 

3. They are legally or administratively responsible for making a 
review. 

4. They would be affected materially by the adoption of the pro¬ 
posed policy or procedure. 

Clearance should not be extended to any unit or individual not 
legitimately concerned. This is in the interest of expedience and in 
fairness to the originating office. Too general a clearance also tends 
to depress the sense of responsibility of the individual clearance 
officers. It is not recommended that materials be sent automatically to 
a standard clearance list or, ,that any office automatically see all pro¬ 
posed Issuances. For example, the delay of clearance with legal counsel 
is not warranted unless the legal' interests 'of the organization are 
clearly involved. 



- 7k - 


Form of transmission. The material to he distributed should be 
typewritten with double or triple spacing and ample margins to allow 
room for written comments. A distinctive form of transmittal memorandum 
should be used with space for the following: 

1. The name of the organizational unit to which it is being 
addressed and the name of its clearance officer. 

2. The date of transmittal. 

3. Identification of the material being transmitted. 

4. The name, room nimiber, and telephone number of the procedures 
analyst handling the material. 

5. Special remarks, such as the reason for proposing the material; 
the name of the initiating office; perhaps a synopsis of the 
material; relationship to other materials; the materials to 

be superseded, supplemented or revised; a description of any 
attachments; and the names of units with which the proposal is 
being cleared. 

6. The deadline for returning the material. 

7. Clearance action and signature. 

It is advantageous to print the form on an easily recognized colored 
paper which will serve as a visual identification of a request for 
clearance. 

Materials placed in clearance should be delivered generally by 
hand. This Insures that delays en route do not deprive clearance 
officers of their allotted time for review. It also precludes any 
later claim by clearance officers that material did not reach them in 
time or was lost in delivery. 

Deadlines. A deadline for return of the material should be set 
which allows enough time for adequate review but is short enough to 
discourage any tendency to set it aside. After a brief period of 
operation, the unit will recognize certain chronic procrastinators and 
will set its deadlines with them in mind. Consideration must also be 
given to the volume of other clearances and the known state of work. 

The deadline provision of the transmittal should read somewhat as 
follows; "Please return this material with your action no later than 
the date specified. If not received by that date, concurrence will be 
assumed, unless arrangements have been made for additional time." It 
should seldom be necessary to invoke this provision if the unit conducts 
a good follow-up. 




- 75 - 


The return of all copies placed in clearance should he sought, re¬ 
gardless of whether the reviewer approves, disapproves, modifies, or 
indicates no comment. In this manner the reviewer is committed to action 
of some sort. All diplomatic means must he used to obtain the return of 
materials hy chronic delayers, hut occasionally the sanction of "assumed 
concurrence" must he invoked. It is then gratifying to note how much 
less time is required in the future I 

It is well to confirm hy memorandum any extensions of time for 
review that may he granted and to include a polite reminder in the memo¬ 
randum that action must he carried forward regardless of whether there 
is clearance compliance. 

Clearance review factors . It is assumed that the clearance officer 
of each, organizational unit 'will obtain such clearance within his own 
office as are necessary. If for any reason the procedures unit senses 
that a clearance officer is not representing his unit adequately, it 
must seek to remedy the situation. After all, it is not a clearance 
signature that is wanted, hut an organizational viewpoint. The review 
hy a clearance officer, or hy others, should he confined to substance 
rather than hy words, and then within the limits of responsibility of the 
unit giving clearance. The putting of substance into words and into a 
particular format should he recognized as a responsibility of the pro¬ 
cedural coordination unit, except insofar as legal phraseology might 
occasionally he required. The reason for this is not so much to protect 
the prerogatives of the procedures unit as to minimize the potential 
areas of dispute. Any suggestions regarding language, format, or sub¬ 
stance, even though not within the range of responsibility of the person 
making clearance should he welcomed and accepted if worthwhile, hut it 
should he understood that they are gratuitous and not binding on the 
procedures unit. 

Clearing non-formal documents. Although the foregoing discussion 
relates to the clearance of formal instructional statements, such as 
might he issued as a manual insert or other administrative release, the 
techniques suggested apply also to clearance of letters, cables, forms, 
memoranda, etc. It must he remembered that it is the substance which 
necessitates clearance, not the form. The technique of clearance can he 
varied to suit the situation. It seems more desirable, for example, to 
clear a letter by circulating it in sequence, so that the official who 
signs can see all the required clearance initials. The procedural 
coordination unit cannot undertake to act as clearance center for all 
correspondence, nor even as a routine point of clearance. On the other 
hand, it must constantly strive to get into the clearance of new or 
revised statements of basic policy, procedure, or regulation. As already 
mentioned, it must also have liaison arrangements at the point of dispatch 
and should, whenever feasible, have copies of correspondence and wires 
routed to it for post facto review. 

Clearance with field offices. In a headquarters office, materials 
are placed in clearance for review hy offices having different functional 









- 76 - 


interests. When sent to the field, they are to he reviewed by offices 
having generally similar interests which vary mainly in their adapta¬ 
tion to local conditions. The problem of selection is thus simplified 
for the field. The line of communication, however, is from the pro¬ 
cedures unit to field offices reporting directly to headquarters. Head¬ 
quarters must depend on regional or other supervisory field offices for 
clearances with subordinate field offices, unless the intermediate offices 
demonstrate an inability to promulgate headquarters established policy 
and to maintain speedy two way communication. 

The usual tendency in headquarters-field relationships is for 
functional counterparts to communicate directly with each other rather 
than through their own administrative and supervisory channels. For 
example, the program man in headquarters to the corresponding program 
technician or executive in the field; the personnel man to the personnel 
man; accountant to accountant; etc. Practically every new organization 
goes through an evolutionary stage which results in requiring these 
specialists to observe their own lines of coordination at headquarters 
and in the field. From a clearance standpoint, it is desirable to have 
a general headquarters review and consensus before submitting a problem 
to the field. If functional specialists clear with each other before 
submitting a matter to general clearance, there may be an implicit 
feeling that a commitment has been made. 

The means of clearance with the field must be geared to the general 
tempo of the organization and the specific urgency of the particular 
subject under discussion. Naturally, if ordinary mail or air mail would 
suffice, either should be used. The tendency, however, will be toward 
speed, including the use of telegrams and cablegrams, teletypewriters, 
and long distance telephones. Administrative services officers may be 
sensitive to the expense, but it is suggested that speed in resolving 
problems is undoubtedly more economical in the long run. 

Incorporation of comments and resolution of differences. In the 
handling of clearance comments and their presentation for top decision 
the procedures unit performs one of its most critical tasks. At this 
stage of the clearance process it is expressing in words a total organi¬ 
zational viewpoint regarding proposed policy or procedure. 

When clearance comments are received the analyst must consider the 
following questions: 

1. Are comments in line with the responsibility of the office 
making them or are they to be considered gratuitous and handled 
in that light? 

2. Are the comments relevant, significant, and accurate? 

3. Are the suggestions for inclusion sufficiently detailed or too 
detailed? 



- 77 - 


After the comnientB are screened, the analyst must decide on the 
treatment of those that survive the test suggested above. It is an 
easy situation when all of these comments can he Incorporated into the 
rewritten draft. The main problem then is to be careful to retain a 
consistent perspective so that inserted items are in line with the rest 
of the material both in substance and in presentation. When there are 
conflicting suggestions the procedures unit should not try arbitrarily 
to decide them itself. It must either obtain agreement among the differ¬ 
ing parties through conference or direct negotiation or present the 
matter for resolution by higher command. Every effort should be made to 
resolve differences without referral to higher command. 

If a draft of material is substantially changed as a result of 
clearance, it might be necessary to place it in clearance again. In 
this case, clearance should only be with those offices having a functional 
interest in the specific changes or new material. 

Approval Procedure 

When it is necessary for the procedures unit to move matters up the 
line for approval, the task of the unit is to present them in a maimer 
which facilitates decision-making. 

Use of delegated authority . Previous mention has been made of a 
delegation to the chief of procediires (or an intermediate officer above 
him) Tidiich would permit him to approve certain matters of policy and pro¬ 
cedure in the name of higher officers. Such a delegation authorizes the 
chief of procedures to approve only matters on which there is substantial 
agreement by all parties directly involved. In addition, he must refer 
for higher consideration basic policy emd procedural questions ordinarily 
reserved for higher decision. 

If the delegation permits, it may be possible to divide materials 
so that only the policy , as distinguished from the implementing pro¬ 
cedure, would be presented for top consideration, unless the procedure 
itself is of sufficient importance to move upward. Where the two can 
be separated, if the policy is approved, the chief of procedures would 
approve the material in the name of the higher officer, provided that 
there is substantial agreement among those concerned. The objective 
of this approach is not only to relieve top officers of less important 
decision — making problems, but also to remove from them the tempta¬ 
tion or opportunity to dabble in petty details which should be left to 
the Judgments of those most intimately concerned at lower levels. 

Form of submission . The proposed material which is submitted for 
top command review should be accompanied by any supporting documents and 
by a suitable transmittal memorandum. The supporting materials should 
consist of background or reference material which might be useful aids to 
decision-making. The transmittal memorandum should (a) summarize the 









- 78 - 


proposal, (b) list the imits or officers vith vhom cleared and the 
extent of their concurrence, (c) present the differences to be re¬ 
solved, if any, and (d) report on the relationship of the proposal to 
other regulations and practices, indicating any changes, effects, or 
implications. In some cases, the chief of procedures might also add 
his own recommendations. He would exercise this prerogative in com¬ 
paratively few cases. The transmittal memorandum might be in the form 
of the distinctive clearance request or in addition to it. 

Approval record. If the proposal is approved^ the signature of 
the appropriate officer should be fixed on the clearance request, the 
transmittal memorandum, or the document itself. The entire file shoulc 
then be returned to the procedures unit for issuance of the approved 
statement. The approval record itself must be filed in the procedures 
unit for future reference. The approval file should be organized to 
correspond with the schematic arrangement of the manuals or other 
administrative releases. 

Effective dates. The effective date in each case must be fixed 
to suit administrative convenience. It must take into account the lag 
between approval and actual receipt by those affected. In many cases, 
notice must be given or an old practice must be changed before a new 
one can be introduced. Rarely would effective dates be made retroacti 
even where administratively or legally permissible. Generally, the 
fixing of the date should be left to the procedures unit in collaborat 
with those most directly concerned in an operational sense. When the 
effective date itself constitutes a matter of policy, it should be pro 
posed for higher approval together with the material itself. 

Approval relationships. There may be a feeling among other of¬ 
ficials that the chief of procedures cuts them off from access to the 
higher officials to whom they are responsible. This should not of 
course be his aim. In fact every effort should be made to convey the 
idea that the procedural coordination unit is intended to perform a 
service of value to all concerned. It is not involved in daily operai 
ing relationships. To further its public relationships, it must seek 
acquire a reputation for operating in accordance with the highest 
ethical standards. Such a reputation is the most effective antidote 
for criticism of the type mentioned. 

T he Distribution System 

The distribution system includes the following elements: 

1. The selection of those to receive materials. 

2. The maintenance and control of the mailing list. 

3. The actual delivery of the materials. 






- 79 - 


4. The control of assigned manuals. 

5. The maintenance of a reserve supply of procedural materials. 

Selective distribution. The variety of procedural releases in the 
average organization makes it necessary to set up an appropriate system 
for distributing them only to those vho actually can make use of them. 

If the releases are distributed promiscuously, the tendency seems to be 
for employees to hold them in lover regard. If, for example, an em¬ 
ployee receives a great number of instructions not applicable to him he 
vill tend to disregard even those vhich are relevant. On the other hand, 
it is important that enough of a distribution be made to the people who 
should be informed of new instructions so that they will be properly 
guided by them. 

In a small organization it is probably simplest to send all general 
procedural materials to the same list. In a large organization, however, 
separate distribution lists might be set up for each part of the basic 
looseleaf manual and for each type of circular release. It is not neces¬ 
sary to have separate addressograph plates, for the same plate can be 
coded for the type and quantity of each release to be sent to the various 
offices and individuals. It is possible to set an addressograph auto¬ 
matic device to print only those plates which are keyed for the particu¬ 
lar release being distributed. 

Mailing list control. The procedures unit should maintain a 
master 3” x 5" card file of its distribution list. The cards should be 
printed from the addressograph plates. Changes in the list will be made 
constantly to correspond with changes in organization, personnel, loca¬ 
tion, etc. It is desirable to minimize list changes by addressing re¬ 
leases to organizational units rather than individuals, especially when 
a quantity is to be sent to the same point. Periodically, the entire 
list should be reviewed to detect any unreported changes. 

Delivery. Materials intended for local delivery within the organi¬ 
zation can be placed into the normal mail distribution channels. Mate¬ 
rials intended for field offices can be sent by regular mail, if close 
by, or by air mail to distant offices. If large quantities are to be 
sent to field offices or missions, a few copies can be sent in advance 
by air mail and the balance can be sent by regular mail. Another solu¬ 
tion for distribution of large quantities of off-set printed materials 
is to send lithographic negatives or plates by air to field offices 
having suitable equipment, for local reproduction. Each shipment to a 
field office should be accompanied by a return receipt addressed to the 
issuing office. Similar receipts might also be used at headquarters. 

The receipt should be designed to report changes in address and quantity. 





- 80 - 


Control of assigned manuals. Some organizations might find it 
desirable to control their manuals and circular binders as items of non¬ 
expendable property charged to the individual en^loyees to whom these 
materials are entrusted. A complete manual represents a considerable 
investment by the organization. It may also be desirable in this 
manner to restrict the diversion of confidential materials. 

Reserve supplies. When setting the quantity to be duplicated, an 
amount over and above mailing list requirements should be included as a 
reserve for answering future requests. The reserve should be maintained 
by the publications distribution unit of the division of administrative 
services. This unit should also maintain a reserve stock of currently 
complete looseleaf manuals and sets of circulars for special’requests 
which should be filled in this way. 




- 81 - 


Chapter VII MAKING INSTRUCTIONS WORK 

When we write instructional materials, we usually expect them to he 
translated into some form of tangible realization. We do not expect them 
to repose simply in looseleaf volumes, unread and unchampioned. The pro¬ 
cedural coordination unit must assiome its share of responsibility for 
taking such steps as will assure realistic and workable statements, 
proper installation, and proper enforcement. 

Realistic Instructions 

A great deal of the "workability" of instructions depends upon 
their soundness and their flexibility as well as upon other factors 
which assure that they can be followed as desired. 

General conditions of workability. For procedural materials to 
have "workability" they must be: 

1. Authoritative 

2. Comprehensive in scope and treatment 

3. Organized for convenient reference 

4. Easily revisable 

5. Readily available 

6. Convenient to handle 

7. Attractive and readable • 

8. Timely 

In addition to these self-explanatory factors, two additional ones 
which require some discussion are adequacy of detail and adequacy of 
delegation. 

Adequacy of detail. The degree of detail depends largely on the use 
to be made of the material. A statement of policy is a statement of 
guiding principles and as such should not Include detailed procedural 
prescription. A basic procedural statement should describe basic re¬ 
sponsibilities, relationships and work flow. It ordinarily should not 
Include detailed Job instructions and mlnqtely described documentation. 

Basic principles change slowly, but the detailed steps of perform¬ 
ance can vary considerably over a brief period of time. A procedural 
statement which is overdetailed runs the risk of becoming rapidly obsolete 

The general objective should be to restrict detail to the minimum 
which will assure coordinated work flow. The maximum of discretion should 






- 82 - 


"be permitted for the users of the material. It is unrealistic, for 
example, for a headquarters to attempt to prescribe detailed procedure 
for a field office, except insofar as necessarily uniform requirements 
must he prescribed for accounting, reporting, and similar operations. 
Uniformity in itself is hot desirable unless a substantially useful 
purpose is served, thereby., 

Adequacy of delegation. When drafting procedural materials, the 
broad principle should be incorporated whenever possible that people 
must have authority to act, commensurate with their responsibilities. 
Whenever possible, the "exception principle" should be introduced so 
that only the deviations from standard practice are referred for higher 
action. Every effort should be made to prevent procedures from becoming 
unwieldy and cumbersome because of excessive administrative reviews. Of 
course, certain checks and balances must be introduced in various fiscal 
and personnel procedures and in situations having legal implications. 
Nevertheless, whenever possible, the maximum delegation to act fully 
should be made. 

This principle is especially important in connection with field 
procedures issued by a headquarters office. The tendency of ill-in¬ 
formed headquarters offices to prescribe in detail the methods of field 
operations and to require excessive headquarters confirmation of field 
actions creates in field offices a corresponding tendency to flaunt head¬ 
quarters instructions. 


Installing New Procedure 

The actual installation of new procedures on a general basis is 
normally the responsibility of executives and supervisors generally. 

The procedural coordination unit at this point has responsibility mainly 
for determining the extent of compliance and for arranging such modifi¬ 
cations of the procedures as experience indicates to be necessary. 

Spot-testing new procedures. All of the problems involved in a new 
method cannot be foreseen when it is still in the paper stage. It is 
therefore expedient to test a proposed new procedure on a sample or 
"spot-test" basis before releasing it for general application. In such 
cases, the procedural coordination unit will assign an analyst to work 
closely with the office in which the test is to be made. 

The locale or office in which the test is to be conducted should be 
one in which conditions are typical. It is almost as undesirable to have 
a test made in an exceptionally, receptive office as in an exceptionally 
antagonistic office. 

The experience of the test installation should be incorporated into 
the final release. The analyst must be open-minded at all times to sug¬ 
gestions from those who must continue to live with the new method. He 
must be alert to detect results or complications not previously anticipated. 





- 83 - 


The placing of a procedure in operation at the point of effect re¬ 
quires the application of established training techniques. It involves 
also the adaptation of originally issued material to the specific vork 
locale. 

Local adaptation. Instructions which are released by a central 
procedures unit usually apply to the organization as a whole at head¬ 
quarters or in the field, or both. As such they are necessarily 
generalized and devoid of the detail requisite to actual performance. 

It is common practice for field offices and constituent divisions of a 
large headquarters organization to re-issue central releases making them 
specifically applicable. Even though the material is not rewritten 
someone must analyze it and determine how it shall be amplified for use. 

In preparing materials for reissuance or for local adaptation, re¬ 
cognition must be made of the particular relationships and distribution 
of responsibilities in the office or offices affected. This can be done 
only on the basis of a thorough knowledge of the work situation and the 
characteristics of the people involved. 

Selling the employees. Once again the problem of resistances must 
be discussed. Employees will not automatically respond to the dicta 
of written instructions. Among the main reasons for resisting new 
methods are habit and personal insecurity. It is common for employees 
to say "We’ve always done it this way” and to resist any effort to change. 
Any change in work methods or work relationships induces a sense of in¬ 
security. Employees tend usually to prefer existing relationships and 
responsibilities, even though they may - within limits - be unsatisfact¬ 
ory, to the uncertainties associated with change. Resistance usually is 
expressed in inaction, but sometimes in actual sabotage. It may take on 
blind emotional form resulting from fear and anger. 

The successful introduction of new methods, therefore, depends on 
the extent to which employees are "sold" on the purpose and significance 
of proposed changes. To a major extent resistance can be eliminated by 
encouraging the suggestions of employees and by utilizing democratic 
methods of formulating policy and procedure. 

In addition to overcoming resistances, it is necessary to relate 
the instructions to the experiences of the group immediately affected 
rather than to those of the procedures writer or approving official. 
Without guidance or explanation, employees will interpret procedural 
materials in terms of their own backgrounds, including their training, 
experience, knowledge of successes and failures, and even their own 
semantic reactions. The task is to assure that the intent of the 
material is matched by the understanding of the user. 

Discontinuance of previous practice. At the time new methods are 
installed it is important that the old methods be discontinued. Oddly 
enough, it will be found frequently that a supposedly discontinued 
practice is being performed in addition to the new, superseding practice. 





- 8k - 


This is especially true of the preparation of forms and reports. 
Accordingly it should not be expected that discontinuance will be auto¬ 
matic. It must be mentioned at the time of issuance of the new material. 
It must also be followed up by suitable inspection. If forms are in¬ 
volved, obsolete stocks should be scrapped. It is usually cheaper to 
scrap paper than to delay operations under new procedures. 

Installation follow-ups. Shortly after installation of a new pro¬ 
cedure, and from time to time thereafter, a follow-up should be made of 
the manner in which the instructions are being carried out. The initial 
follow-up is most important for it should disclose any defects not 
previously anticipated or observed. It should also reveal whether any 
superseded practices have actually been discontinued. The follow-up 
may reveal that employees have not understood the instructions or that 
they have followed them too literally and rigidly or that they can't be 
followed at all. The intermittent follow-ups, additionally, should re¬ 
veal whether current conditions have in any way affected the validity of 
the policy or procedure as originally contemplated. As a result of these 
follow-ups it may be necessary to make adjustments in policy or procedure 
or both. 


Enforcement 

If instructional materials are of sufficient significance to warrant 
publication at all, they should also warrant strict enforcement. It is 
fine to enlist cooperation through democratic participation in the formu¬ 
lation of policy and procedure and through effective techniques of 
installation, but normal human frailties often demand more direct means 
of enforcement. If employees are permitted to disregard instructions, it 
becomes increasingly difficult to obtain enforcement of future instructions. 
Then too, poor or inconsistent compliance results in administrative con¬ 
fusion. The very prestige of a division of procedures is at stake if its 
issuances are not followed. 

Assuring use of procedural materials. Under the heading of making 
procedural materials workable were listed a number of factors which re¬ 
lated to the organization and presentation of manuals and circular re¬ 
leases. In addition to any installation follow-ups, further follow-ups 
must be made on the use of these materials from time to time. 

One purpose of follow-up is to assure that manuals and sets of cir¬ 
culars are in current conditions. The experience of several organizations 
has been that, all explanations and directions to the contrary, employees 
tend to neglect to keep their sets current. In fact, until they have 
become habituated to it, their manuals are often not assembled at all. 
Periodically some check should be made of all manuals. Some organiza¬ 
tions include a manual check as a standard item of inspection for travel¬ 
ling auditors who visit field offices. It has been found useful to re¬ 
quire recipients to fill out and return receipts for instructional ma¬ 
terials, including a statement that they have been read and filed. 





- 85 - 


Correspondence pertaining to established policies and procedures 
should, whenever possible, include references to the instructional 
sources, to encourage their use, rather than to repeat or paraphrase the 
texts. This should also be done when preparing any other releases re¬ 
quiring cross-reference. 

Conipliance reviews. A business organization is a social unit in 
the same sense as a community in which people live. Most members of the 
co mmun ity will abide by its rules and regulations, but a persistent 
minority always exists which prefers to live by its own rules. For this 
minority a police power must be set up. One aspect of policing is to 
detect improprieties, misconduct, irregularities in financial operations, 
etc. This aspect is necessary, but it does not serve the purpose of 
administrative compliance. It is therefore important to consider the 
establishment of an administrative inspectorate. 

Administrative inspectorate. The need for an administrative inspec¬ 
torate with responsibility for continuing review of operations is par¬ 
ticularly great in a large organization or one having a number of field 
missions or offices. It would analyze systems and practices to see if 
they are in accord with official policies, procedures, and regulations. 

It might also analyze performance from the standpoint of staff require¬ 
ments and efficiency. A clear distinction must be maintained between an 
administrative inspectorate and a division of investigation. 

Analysis of anticipated results. It is possible to check on com¬ 
pliance by reviewing specifically anticipated results which are expected 
to follow a change in method. These might include a reduction in pro¬ 
cessing time; elimination of forms; use of smaller quantities of forms; 
reduction in personnel, overtime, space, equipment, and supply require¬ 
ments, etc. On the other hand, excessive requirements, bottlenecks, 
delays in processing, etc., would indicate a need for on-the-spot 
inspection. 

Spot checks. Follow-ups or reviews can be made on a "spot" basis 
as effectively - or even more so - as regular inspections. The knowledge 
that an inspection might be made at some uncertain time keeps people 
ever alert. On the other hand, a regular inspection announced before¬ 
hand may not give a representative picture. A number of spot checks 
should be sufficient to give an over-all picture. 

Review of ancillary instructions. An ancillary instruction is a 
subordinate or aiixiliary issuance resulting from something previously 
issued. For example, the release of a bureau or field office issued in 
amplification of a headquarters release is an ancillary instruction. 

The procedures unit should review all such instructions (l) to see if 
they are in conformity with established policy and procedure; (2) to 
learn of the actuality of bureau and field operations from their more 
specific releases; and (3) to pick up subjects which had not been 
covered by headquarters releases. 







- 86 - 


When undesirable deviations from established practice are detected 
in this m.anner, they should bo called to the attention of the offices 
concerned vith the suggestion that they recommend modification if they 
desire, for official consideration, but that in the meantime they con¬ 
form to the official regulations, unless properly excused therefrom. 

Control of Exceptions 

Federal and State governments have provided legal machinery to 
prevent exceptions from prescribed practice. In the Federal service, for 
example, the Civil Service Commission enforces rules relating to the 
appointment, classification, promotion, demotion, and discharge of person¬ 
nel. The General Accounting Office ensures that all disbursements were 
properly authorized in accordance with law and administrative regulations 
as a condition of payment. The Bureau of the Budget administers the 
legislatively determined budgets for the individual departments. These 
agencies develop a considerable body of interpretations and precedents 
to keep official determinations in line. Nevertheless, department heads 
and their subordinates still have a considerable amount of latitude for 
deviating from their own established policies. 

In private organizations, reliance must be placed upon internal and 
external auditors who can examine compliance with rules to the extent 
that fiscal transactions are involved. 

Top executives must themselves resist the pressures to obtain ad¬ 
ministrative exceptions to established regulations. The danger is that 
unwarranted exceptions tend to break the line and make regulations diffi¬ 
cult to enforce. 

There is also the question of who shall make exceptions. It must 
be borne in mind that the final, approved regulation represents a determi¬ 
nation by the highest officials as to the course of action to govern in 
stated situations. These determinations are made after clearance with 
all offices and activities concerned. In some cases, authority to make 
exceptions is specifically delegated. In other cases, a flat rule is 
stated without provision for making exceptions. In any of the latter 
cases, the authority to make exceptions reverts to the official who was 
empowered to approve the governing regulation. If a subordinate officer 
or employee could deviate on his own authority from the requirements of 
the regulation, it would be equivalent to his having authority to set 
aside an organizational determination arrived at through full clearance 
and administrative approval. 

This is not to say that a rule once fixed cannot be over-ruled. No 
rule can govern all situations with equity. Sometimes it is important 
that equity on behalf of one or a few individuals or situations be 
sacrificed on behalf of equity for the entire group. When exceptions 
must be granted, they should be made only by officials legally authorized 
to make them. 



- 87 - 


On the other hand, intelligent administrative practice requires 
that authority to make determinations he delegated as close as possible 
to the point of technical competence and review, consistent with the 
ability of higher officers to maintain control over operations. 

As a further guard against undisciplined deviations from the rule, 
any exception should be thoroughly documented, explaining the facts and 
justification for the exception. 

It must be observed that exceptions tend to establish precedents. 
After a number of Similar exceptions, a new rule is established, re¬ 
gardless of what is written on paper. If the new mile is then officially 
promulgated, further exceptions are urged which in turn stretch and 
break the new line of control. 

Eevlsions and Current Maintenance 

From the moment a policy or procedure is fixed on paper, influences 
are already at work to change their nature. It is this constant flux 
in any organization that is behind the concept of the revisable manual. 

Among the factors which bring about a need for procedural revision 

are: 

1. Changes in program, legal authority, relationships, organiza¬ 
tion, etc. 

2. Increases or decreases in work volume. 

3. Personnel turnover. 

4. Technological change, improved communications, improved 
equipment, etc. 

Evidences of change can be found as they are brought out in confer¬ 
ences, correspondence, staff suggestions, budget reports and justifica¬ 
tions, work flow surveys, management audits, position classification 
surveys, official decisions, inter-office liaison, etc. The procedural 
coordination unit should strive to have evidences of change translated 
into written revisions of existing instructions. No matter how fine 
the instructional system, it will not be effective in use if it is not 
currently authoritative. 

It will be necessary about once each^year to take inventory of all 
supposedly current materials. The inventory should ascertain whether 
all the practices in print exist also in fact. The manual itself should 
be reviewed in order to detect any undesirable deviations from its plan 
of organization. All cross-references and index references should be 
checked. 



- 88 - 






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- 89 - 


VIII. THE PEEPAEATEON OF INSTEUCTIONAL MATEEIALS 


The procedures writer must be able to produce clear, brief, and pre¬ 
cise language which will convey the intended meaning. Poorly written 
instructional materials cause delays and confusion. They make necessary 
additional instructions and explanatory correspondence. The production 
of effectively written instructional material extends beyond the mere 
grammatical arrangement of words. It requires a knowledge of the sub¬ 
ject matter and the intent of the material. It demands also a facility 
for handling language skillfully. 

The Psychology of Official Language 

The language that most of us tend to use in our official capacities, 
whether writing to other members of our own respective organizations or 
to members of the public, is legalistic, archaic, and stilted. It is a 
Jargon which categorically can be called "officialese." In England it 
might be called "Whitehallese;" in the United States the term is "Fed- 
eralese." One United States Government official coined for it the name 
"Gobbledygook." By no means is it restricted to the public service. 

Officialese in Government is characterized by being overexact, over¬ 
abstract, and overimpersonal. It is overexact because the business of 
government is largely the making of rules which are subject to public 
scrutiny. Eules are general statements intended to cover all conceivable 
cases. They must cover what is affected and exclude what is not affected. 
Official language is overabstract because the government writer is one 
voice in a vast machine, unable to write man-to-man, but only indirectly 
in terms of the situations or principles involved. It is similarly over- 
impersonal and finds expression in the third person and the passive voice. 

One reason for officialese is a pervading insecurity. Government 
workers live in a glass bowl open to the scrutiny of all who care to 
glance within, and the number who care is legion. This insecurity is 
manifested in a habit of writing cautiously, indirectly, and clumsily. 

But that is not the only reason and--again--officialese is too gen¬ 
erally the language of business writing whether Government, commerce, or 
industry. 

The writer once was given the assignment of compiling a manual of 
operations for one of the war-time control agencies. One day at a Staff 
meeting, the subject of his method of presentation was brought up. To 
his chagrin, his chief said, "Now, I know that Joe has put this into sim¬ 
ple, direct English that means what it says. But I wonder whether that 
is what we want. Doesn't this all have to be couched in a certain kind 
of 'manual' language?" His frank reaction is not atypical. There are 
many people who write in officialese because they believe they have to and 




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because their superiors believe they should. The usual approach of the 
conformist is to see how his betters have said it in writing and to try o 
ape them; this is the safe way. Moreover, many people feel that they 
must impress others with the difficult character of the subject. They 
forget that most official language is supposed to communicate information 
or guidance. The language ideally suited to instructional need is a simple 
active one, devoid of embellishment. An excellent example of officialese 
as contrasted to a simple instructional style is found in a news item 
quoted from the March 11, 19^2 issue of the New York Times. 

Washington, March 10, 19^2—The polished polysyllabic profundities 
of James M. Landis, dean of the Harvard Law School and Director of 
Civilian Defense seems to be a little too fancy for President 
Roosevelt. 

The Chief Executive read to a press conference today a letter which 
Dean Landis had prepared for him to send to the Federal Works Agency 
on the subject of blacking out Federal buildings during air raids. 

"Such preparations shall be made," the letter said, as will com¬ 
pletely obscure all Federal buildings and non-Federal buildings 
occupied by the Federal Government during an air raid for any period 
of time from visibility by reason of internal or external illumi¬ 
nation. Such obscuration may be obtained either^by blackout con¬ 
struction or by termination of the illumination." 

With a grin, Mr. Roosevelt hastened to remark that "obscuration" 
was not his word, nor was "termination of the illumination his 
language. 

He read on. 

"This will, of course, require that in building areas in which pro¬ 
duction must continue during the blackout, construction must be 
provided that internal illumination may continue." 

Mr. Roosevelt asserted that he knew some people who had had internal 
illumination, and after a roar of laughter subsided, he continued 
once more with the letter; 

"Other areas, whether or not occupied by personnel, may be obscured 
by terminating the illumination." 

The Chief Executive stopped, turned to his press secretary, Stephen 
Early, and ordered a rewi’ite job. 

"Tell them," he said, "that in buildings where they have to keep 
the work going, to put something across the window. In buildings 
where they can afford to let the work stop for a while, turn out 
the lights. Stop there," he said. 


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Preparation for Writing 

Approach analysis. As general preparation for writing a particular 
item, the instruction writer must give careful attention to the following 
before he attempts to set words on paper: 

1. The background and nature of the subject matter. 

2. The objective and desired response. 

3. The character of the reader group. 

4. The form of issuance. 

The writer must know the background of the material, the reasons 
for issuance, its relationship to other instructions--past, present and 
future—and its effect upon the total program and organization. Clarity 
cannot be achieved without a familiarity with subject matter. 

The purpose of the material determines its content and sets its tone. 
Nothing must be included in either fact or word if it does not contribute 
to the ultimate purpose, A procedural manual calls for a precise sequen¬ 
tial form of language; a general memorandum to employees persuading them 
to some course of action would require an entirely different tone and 
construction. 

Ideas and the words used to express them must be aimed at the level 
of comprehension of the people who will read and be governed by the 
instructional material. The writer must put himself in the place of the 
reader. If necessary, the same material must be expressed differently 
for different reader groups. The task of the writer is not merely to put 
on paper all of the facts. He must organize and present the facts for 
the convenient use of the reader group. Technical language is for a 
technical reader; legal language for the lawyer and not the layman. 

The writer must cater to the reactions and motivations of the reader, 
recognizing his acid test of acceptance: "How will this benefit me? 

What will I get out of it? Will it inconvenience me? Will I have to 
change my work methods? Will this lower my duties and responsibilities? 
Will it endanger my security or that of any of my friends? 

The form of issuance also plays its part in guiding the writer’s 
hand. The writer must adhere to the pattern of language, arrangement, 
and style of the particular instructional form he is using. 

After careful consideration of the treatment of his material, the 
writer should plan a working outline from which to write. The common 
temptation is to begin writing without an outline, but experience sug¬ 
gests that any material of more than a few paragraphs should be organized 
in at least rough outline form. 




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Outlining. The process of outlining is the orderly division and 
arrangement of subject matter. It is the ideal vay of preparing to write 
because: (l) it is easier to move items in an outline from place to 

place than to rewrite or move written paragraphs; (2) it reveals gaps in 
content; (3) it disciplines the thinking of the writer and results in his 
having a better command of his subject; (4) an instruction can be discussed 
in outline with the reviewing officer before time is spent on writings; and 
(5) the final outline can be used as the framework of hearings of the 
release. 

Before outlining it is assumed the writer has learned as much as 
possible about the subject matter. His first step is then a clear state¬ 
ment of the problem. Thereafter outlining consists of the division and 
subdivision of subject matter to form a skeleton on which to build the final 
instruction. 

To illustrate, an instruction is to be prepared on a uniform sug¬ 
gestion plan for all divisions of a large organization. After gathering 
and analysis of all information related to the proposed plan, the follow¬ 
ing principal breakdowns are apparent: 

1. General. 

2. Establishment of the suggestion plan. 

3. Handling and evaluation of suggestions. 

4. Making of awards. 

5. Reports. 

These main headings are arranged in this case according to the 
natural sequence of action. The "General" heading would include a state¬ 
ment of purpose, applicability, and any other introductory remarks. In 
order of procedure would follow the establishment of the plan, the handling 
of suggestions, and the making of awards. A section on reports usually 
comes last. This initial division is now further subdivided: 

1. General 

1.1 Purpose 

1.2 Applicability 

2. Establishment of the Suggestion Plan 

2.1 Responsibility 

2.2 Suggestion boxes and forms 

2.3 Publicity 

3. Handling and Evaluation of Suggestions 


3.1 Routine handling of suggestions 

3.2 Evaluation of suggestions 

3.3 Disposition of suggestions not adopted 






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4. Making of Awards 

4-.1 Non-reimbursable suggestions 

4.2 Schedule of initial and additional payments 

4.3 Special awards 

4.4 Presentation of awards 

5. Eeports 

5.1 Interchange of suggestions among divisions 

5.2 Periodic statistical reports 

With these main headings developed, the writer who feels sufficient¬ 
ly familiar with his subject matter can begin writing the instruction. 
Most writers might prefer to have a more detailed outline through fur¬ 
ther subdivisions, as follows: 

1. General 

1.1 Purpose 

1.11 Employee participation in management 

1.12 Effective handling and evaluation 

1.13 Uniform basis for awards 

1.14 Safeguarding organization rights 

1.2 Applicability 

1.21 All divisions and employees 

1.22 Exceptions 

2. Establishment of the Suggestion Plan 

2.1 Besponsibility 

2.11 Suggestion chairman 

2.12 Suggestion committee 

2.13 Division officers and supervisors 

2.2 Suggestion boxes and forms 

2.21 Provision and location of boxes 
' 2.22 Provision and replenishment of forms 

2.3 Publicity 


2.31 Objective of publicity 

2.32 Media of publicity 











- 91 ^ - 


3. Handling and Evaluation of Suggestions 


3.1 Routine handling of suggestions 

3.11 Regular collections 

3.12 Master book records 

3.2 Evaluation of suggestions 

3.21 Technical report 

3.22 Connnittee consideration 

3.3 Disposition of suggestions not adopted 

3.31 Unacceptable suggestions 

3.32 Suggestions for future consideration 

3.33 Suggestions of possible value to other divisions 


4. Making of Awards 


4.1 Non-reimburseable suggestions 

4.11 Routine maintenance 

4.12 Line of duty 


4.2 Schedule of initial and additional payments 


4.21 New method or procedure 

4.22 Improvement in existing method or procedure 

4.23 Reduction in cost of operation 

4.24 Reduction in defects of operation 

4.25 Elimination of waste 

4.26 Reduction in fire or accident hazard, etc. 

4.27 Miscellaneous 

4.3 Special awards 

4.4 Presentation of awards 


4.41 Presentation through division officials 

4.42 Publicity arrangements 


5 . Reports 

5.1 Interchange of suggestions among divisions 


5.2 Periodic statistical reports 














- 95 - 


Outlining can be carried out, if desired, to such an extent that 
it almost becomes the final written instruction. This would be done 
primarily where a great many points are involved. To illustrate, compare 
the following outline breakdown of the point "Suggestion chairman" with 
the final written paragraph. 

2. Establishment of the Suggestion System 

2.1 Hesponslbillty 

2.11 Suggestion chairman 

2.111 Authority 

(a) Final authority on suggestion 
matters 

(b) Responsible to Employee Relations 
• Division 

2.112 Duties 

(a) Publicity and promotion 

(b) Collection, recording, and distribution 

(c) Expediting of actions 

(d) Preparation of reports 

(e) Leadership 

2, Establishment of the Suggestion System 

2.1 Responsibility 

2.11 The suggestion chairman is the final authority on 
all matters of procedure regarding the suggestion 
plan. He is responsible to the Employee Relations 
Division. His duties are: 

(a) to publicize and promote the plan 
‘ (b) to provide for the collection, recording, and 

distribution for evaluation of suggestion 
forms 

(c) to expedite the handling and evaluation of 
suggestions 

(d) to prepare required reports 

(e) to give the leadership necessary to the success 
of the plan 






- 96 - 


The following rules were observed in the preparation of this outline: 

1. The breakdowns are based upon the principles of division and 
classification of subject matter discussed in chapter II. 

2. The numbering is that of the modified Dewey system. For purposes 
of outlining, the alternate numerical-alphabetical system could 
be used. The outline numbering should be in accord with that of 
the final product, (See the discussion of numbering in chapter II.) 

3. Items of the same level of subject matter should be parallel in 
outline structure to indicate equivalent and subordinate relation¬ 
ships. To illustrate; 

Wrong Correct 

5. Reports 5* Reports 


5.1 

Interchange of sug¬ 

5.1 

Interchange of sug¬ 

5.2 

gestions among divisions 
Periodic statistical 

5.2 

gestions among divisions 
Periodic statistical 

5.3 

reports 

Forms 

5.31 Suggestion forms 6. 

reports 

Forms 


5.32 Evaluation form 

5.33 Employee notifi¬ 

6.1 

Suggestion forms 


cation form 

6.2 

Evaluation form 


5 . 3 ^ Record and report 

6.3 

Employee notification 


forms 

6.4 

form 

Record and report forms 


4, Parallel outline headings should be parallel in language structure . 
To illustrate: 

Wrong Correct 

3.11 Regular collections 3*11 Regular collections 

3.12 How to record in master 3*12 Master book records 

book 

5. In each progressive breakdown of an outline, only one expansion 
should be made. Many details can usually be placed under a 
choice of headings. The choice should be deferred \mtil all 
possibilities are considered in logical order. For instance, 
"Expert consultants" might have been placed under the heading 
"Responsibility” if it had been fully developed before reaching 
other parts of the outline, "Expert consultants" fits more 
appropriately under the heading, "Evaluation of suggestions," 
since that is the focus of discussion of the role of consultants. 










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Organization of Instruction Language 

The objective in writing instructional materials is to convey 
thoughts through language which is susceptible of one interpretation. 

This generally requires a direct form of sentence structure with an 
economy of words. Such writing does not flow easily. The best writers 
do not "dash off" gems of wisdom. They pick and scratch. It may be 
necessary to turn out many drafts before copy can be sent for clearance. 
Good writing comes only with practice--it is not instinctive. 

The organization of instruction language is divided into (a) the 
outlining of the whole instruction (already discussed), (b) the con¬ 
struction of paragraphs and sentences, (c) the use of language for 
achievement of clarity and brevity, and (d) the choice of language. 

Paragraph structure. An instruction paragraph should not contain 
more than one central thought. If two or more ideas compete for atten¬ 
tion within the same paragraph, the reader may neglect part of them. The 
central idea is usually expressed in the topic sentence. This is an 
aid to the reader who can thus scan an instruction quickly. It also 
lends emphasis to the main point. Paragraph length is governed by the 
width of the page or column. The easier it is for the reader to follow 
and absorb the text, the longer the paragraph can be. Width governs 
through visual appearance. It has been suggested that 100 words is a 
good average length. Of course, the ordinary rules of good writing also 
apply, including attention to balance, transition, and variety. 

Sentence structure. As in the paragraph, so in the sentence the 
single thought is important. Compound sentences should be avoided. If 
the sentence contains enumerated items, they should be numbered or let¬ 
tered in sequence. Ordinarily, important sentences should be organized 
so that the subject and its modifiers come first, followed by the verb 
and its modifiers, with the object and its modifiers last. In order to 
relieve monotony, the arrangement of subordinate sentences may be varied. 
The length of the sentence should generally be about 20 to 25 words, 
except where several enumerated points are included. Long sentences make 
dull reading. Short sentences give a staccato, choppy effect. A satis¬ 
factory blend of the two lends to readability. In most materials, the 
third person will be used. In "how to do it" job instructions, the 
second person may be used. 

Clarity. Clarity is not a technique in itself. It is attained 
through use of many techniques of written presentation. 

Clarity may be achieved by: 

1. Using language familiar to the reader. 

2. Using precise language. 






- 98 - 


3. Giving complete information. 

4. Presenting facts in orderly sequence. 

5. Summarizing lengthy procedures at intermittent points. 

6. Eliminating words, sentences, or paragraphs which do not 
contribute materially. 

7. Providing examples, illustrations, flow charts, etc. 

8. Showing relationships through indenting of subordinate 
paragraphs. 

9. Qualifying general statements with specific statements. 

10. Qualifying positive statements with negative statements. 

11. Being precise as to the doers and recipients of action 

12. Being precise as to quantity, time, and place. 

13 . Defining unfamiliar terms and concepts. 

14. Adhering to good organization and sequence of ideas and 
language. 

Brevity. Instruction reading is on a competitive basis. Modem 
office duplicators are able to produce mountains of instructions relating 
to an ever-increasing complexity of operations. Sheer volume alone thus 
places a premium upon brevity. Brevity is an aid to clarity, provided 
it is sought through economy of language--not economy of thought or 
detail. Brevity may be achieved through: (l) adequate preparation, 

( 2 ) good organization, (3) avoidance of repetition and redundancy, 

(4) elimination of non-essential words, (5) direct language, and (6) use 
of short instead of long elements of expression. 

1. Adequate preparation and a good command of the subject matter 
facilitate ease of writing. The uncertain or ill-prepared 
writer tends to be indirect; his writing vague and wordy. 

2. Good organization brings related material together and minimizes 
needless repetition and cross-reference. 

3 . Eepetltion can be avoided by careful editing. Repetition should 
not be confused with occasional summarization in a lengthy or 
important instruction. 

4. Non-essential words are found in the first drafts of almost all 
writing, however good. They should be edited out mercilessly. 



- 99 - 


The approach should he: ’’What does this vord add?” rather than 
’’Should I cut this?" 


Wordy 


Shorter 


The report will he trans- The report vill he mailed, 

mitted in writing hy mail. 

(it has to he written to he 
mailed. Transmitting it 
will not hasten it.) 


Repair the defective part. Repair the part. 

(if it isn't defective why 
repair it?) 

Seek to arrive at a conclu- Seek a conclusion. 

Sion. (Where are we going?) 

5 . Direct language means: (a) the use of the active voice, and 
(h) the arrangement of sentence elements in the normal order of 
subject and modifiers, verb and modifiers, and object and 
modifiers. 


Long 

The pages will he proofread 
hy the editor. 

Approval of the requisition 
will he authorized hy the 
chief storekeeper. 


Shorter 

The editor will proofread the 
pages. 

The chief storekeeper will 
approve the requisition. 


6, Condensation of language is accomplished hy substituting a word 
for a phrase, a phrase for a sentence, a sentence for a para¬ 
graph, and--if need he—a paragraph for a lengthy dissertation. 
Brevity achieved in this manner depends largely upon the writer's 
facility of expression. Such facility grows with experience. 


Long Shorter 

If it meets with his approval If he approves 

In view of the fact that Because 

The form attached to this The attached form 

memorandum 

Check list. As a general term "check list" covers the tabular pre¬ 
sentation of a number of items with an economy of language. It is used 
as the term implies, for reader convenience in checking or readily 
Identifying alternatives, actions to he taken in sequence, and separate 








- 100 


items of information. Used at the beginning of written materials, it 
serves as an introduction to the points covered; at the end of lengthy 
or involved procedures as a summary. It may consist of a series of 
brief paragraphs or sentences. The sentences may be grammatically in¬ 
complete; they may also be in a direct second person; "Open this ./' 

"Inspect this ."Distribute the .," etc. 

Grammar. It is presumed that a procedures writer will have an 
adequate command of good grammatical practice. Obviously, the principles 
of grammar cannot be reviewed here. The following elements should be 
mentioned, however, for they are important to clarity: 

1. The tense of a verb indicates the time of action and should be 
consistent with intent. 

2. The active or direct voice is usually more clear-cut than the 
passive or indirect voice. Shifts from one voice to another in 
closely related material should be avoided. 

3. The third person is generally used for formal or impersonal 
material. The second person (imperative) is often used for 
detailed job instructions or "how-to-do-it" material. 

The Vocabulary of Instructions 


The subject of language in official writing has come into increasing 
prominence in recent years. Here in a few pages we*-can but touch lightly 
upon the effective choice of language. The reader is invited to read 
Rudolf Flesch, The Art of Plain Talk ; James F. Grady and Milton Hall, 
Writing Effective Government Letters ; and Sir Ernest Gowers, Plain Words 
(published by His Majesty's Stationery Office). 

Precise and concrete words. The words used in conveying instructions 
must be as definite, specific, precise, and concrete as possible. Gen¬ 
eral, vague, or broadly inclusive words lead to ambiguity and incorrect 
interpretation. If a person "handles" correspondence, for example, does 
he open, deliver, dictate, review, initial, or sign correspondence? 

Other examples of non-specific usage are coordinate, prepare, review, 
endorse, etc. 

. Words of discretion. Instructions must tell how much discretion may 
be used in carrying out command. The following usages are suggested: 

1. The senior clerk may forward the invoices. (implies discretion) 

2. The senior clerk can forward the invoice. (Also implies dis¬ 
cretion; indicates ability to act contingent upon some other 
event) 












- 101 


3. The senior clerk should forward the invoices. (Mild form 
of command; moral obligation) 

4, The senior clerk will forward the invoices. (linplies expectancy 
of compliance under normal circumstances; mild command) 

5. The senior clerk shall forward the invoices. (Determination; 
direct command) 

6, The senior clerk must forward the invoices, (imperative com¬ 
mand) 

The same expressions used with "not" become even more emphatic, in 
a negative sense. 

Technical terms. In general, technical terms should be used only 
in materials addressed to an appropriate technical audience. Used in 
this manner they are code words having special meanings for their users. 
Materials addressed to non-technical readers must either avoid technical 
or special meaning terms or define them in the material. 

Legalistic language. It is said that the lawyer’s tendency to writ^ 
lengthily and circuitously is in one respect a carry-over from the day 
when he was paid by the word for preparing legal instruments. Actually, 
the cumbersome nature of legal language stems from the reliance of 
lawyers upon legal precedent and upon phraseology which has been proven, 
or which it is anticipated, will cover every conceivable situation which 
may be involved. For some reason, many people believe that legalistic 
writing is essential to official policy and procedure writing. Long and 
heavily encumbered sentences serve only to becloud the main point. No 
objection can be raised to legalistic language in legal documents. But, 
legal language should not be used to communicate instructions.' Examples 
of words and phrases to avoid are: 

aforesaid, and/or, hereinafter, in consequence thereof, in lieu 

thereof, pursuant to 

Stilted and overworked language. "Polysyllabic profundities" also 
tend to find their way into, official statements, again due to a belief 
that they lend procedural character. The chief criticisms against the 
following examples are that they seem affected and that simpler words 
can be substituted: 

promulgation, implementation, effectuation, dissemination 

There is nothing wrong with any of these words, provided that they are 
used appropriately and sparingly. 








- 102 


Techniques of Editing and Revisirig Copy 

Revision is as much an art as original writing. In fact, some 
people prefer to specialize in revising and rewriting the work of others. 
If the same individual writes and revises his own.material, he should, 
if possible, allow sufficient time to elapse between the two processes 
if only over-night. Time lends perspective. In the heat of writing, 
one's work may seem brilliantly coherent. After a lapse of a few days 
or longer—if possible--many gaps, inconsistencies, or language faults 
become apparent. The editing and revision process may be aided by some 
of the following questions; 

1. The total instruction 


a. Does the instruction follow the objective? Would the 
reader have difficulty in grasping the objective? Are 
there any points in the instruction which do not relate 
to the objective? 

b. Is the order of ideas or subjects logical and effective? 

Do things seem in their proper place? Above all, has the 
material been arranged from the standpoint of the user? 

c. Are there any omissions? Is the subject covered sufficiently? 
Has anything been included which is not too important and 
which could be left out for the sake of simplicity? Is 
there any needless repetition? 

d. Has the instruction been written for the lowest level of 
comprehension among its readers? 

2. The paragraph 

a. Is each paragraph a single thought unit? 

b. Are the paragraphs too long? Even though the paragraph 
contains a single topic, should it be broken up to lend 
reading ease? 

c. Are the paragraphs too short? Could coherence and reada¬ 
bility be improved by combining paragraphs of the same 
topic? 

d. Have the paragraphs been developed internally with regard 
to logical order and transition? Does each sentence in 
the paragraph relate to the topic of the paragraph? 





- 103 - 


3 • The sentence , ■ 

a. Has every sentence justified its inclusion? Within each 
' sentence has every vord or phrase been eliminated which 

does not contribute to the instruction? 

b. Have shifts in language direction been reduced to a minimum 
by using the same idea or pronoun as the subject of succes¬ 
sive sentences? By eliminating frequent shifts from the 
active to the passive? 

c. Has the passive voice been converted wherever possible into 
the active voice? 

4. Vocabulary ’ 

a. Can words be substituted for phrases? 

b. Are short, familiar words predominant? Have technical 
terms been defined? Have trite, legalistic, or obscure 
words been eliminated? 

c. Have expressive, concrete, precise words been used wherever 
necessary to give the reader a clear picture? Can synonyms 
be substituted to convey the correct shade of meaning? 

5. Examples, check lists, and captions 

a. Have examples been given wherever necessary to clarify or 
explain an involved point? 

b. Are the examples pertinent and in good taste? 

c. Are there so many examples or illustrations that the conti- 

‘ nuity of the material is disrupted? 

d. Has the check list technique been used as an aid to reader 
reference? 

e. Have captions been used generously as a running index to 

the contents of the instruction? Are they short and ex¬ 
pressive? , V ' 

How to Write Delegations of Authority 

1. Sufficient authority must be delegated to enable the officer to 

carry out the tasks^ for which he is responsible. . . . 

2. The specific actions for which the officer has authority should be 
clearly explained. 






- 104 - 


3. Limitations upon authority and conditions for exercising authority 
should be clearly explained. 

4, Where Joint authority is granted, it must be clearly explained as 
to when one officer may act independently, when Joint action is 
necessary, and what to do when agreement cannot be reached. 

5. In order to assure continuity of operations, identical delegations 
should be made to two or more persons, effective upon unavailability 
of the individual possessing primary authority. 

6, Explicit instructions should be given as to whether the officer who 
has been delegated authority can redelegate authority. 

How to Write Definitions 

A minimum of detail in a definition tends to make it subject to 

broad interpretation. With an increase in detail, there is a correspond¬ 
ing decrease in latitude for broad interpretation. Following are five 

rules of definition; 

1. The definition should include all of the essential attributes 
of the thing being defined. 

2. The definition must Include all of the things or class of things 
being defined; it must not include any more than that. 

3. The name to be defined or a synonym for it must not be used 
in the definition. 

4. Figurative, technical, obscure or ambiguous language should not 
be used. 

5. The affirmative should be used in preference to the negative 
whenever possible. 

General Check List for Writing Procedures 

1. State the purpose or reason for the procedure. 

2. Give a brief summary or overall statement in the beginning. 

3. Indicate to whom the procedure is applicable. 

4. Prescribe specific responsibility for every action showing who is 
to do what. 

5. Identify all participants by position or work title, never by the 
names of people. 




- 10 ^ - 


6. state whether actions are; (a) required, (b) preferred, (c) en¬ 
tirely optional, (d) optional within limits, (e) not permissible, 
or (f) permissible within limits. 

7 . Define each item the first time it is mentioned in a procedure. 

8. Identify the source of all papers or other work items showing 
what is received ^ whom from whom. 

9* Identify all forms, form letters, etc. as to which is the original, 
second, third, fourth, fifth copy, etc. 

10. Dispose of each item in the operation either by routing to the next 
participant in the procedure or by retiring either temporarily or 
permanently from the operation. 

11. Designate specifically the file in which a paper is to be placed. 

12. Put the main idea or thought in a lead or topic sentence at the 
beginning of each paragraph. 

13 . Give concrete examples and illustrations. 

14. Cross-reference related information, including handbooks, manuals, 
etc. 

15 . Allow sufficient time after the issue date before making the pro¬ 
cedure effective, making allowances for mailing both ways, routing 
to recipients, reading, clarifying questions, and doing the actual 
work. 

16 . Indicate previous documents or instructions which are superseded. 

Check List for Writing Instructions for the Preparation 

and Maintenance of Eecords 

1. Purpose of the record, including a statement of its relationship to 
other records which are part of the same records system. 

2. Specific sources of information for various entries to be made. 

3 . Entries to be made, column by column, indicating the specific 
positions in the source documents from which data will be obtained. 

4. Manner of making entries, whether by pencil, pen, or typewriter. 

5 . Manner of posting cents, whether to nearest tenth, etc., or to 
nearest dollar. 





- 106 - 


6. standard system of noting on source documents that data has been 
posted. 

7 . Procedure for verification of posted data. 

8. Frequency and dates on which the records will be posted. 

9 . Method for revising entries made on record forms. 

10. Statement as to conditions under which new records are created. 

11. Method of filing or arranging records for summarization and 
reference. 

12. Dates and frequency of summarizing data. 

13 . Method of summarizing. 

14. Standard system for noting on record that data has been summarized. 

15 . Instructions for handling unusual items, exceptions, or circum¬ 
stances . 

16 . Disposition of records which contain "inactive" data. 

Check List for Writing Instructions for the Preparation 
' of Forms and Reports 

1. Purpose of the form or report. 

2. Date as of which data is to be included. 

3 . Items to be included, with standard abbreviations. 

4. Explanation and definition of information to be entered in each 
column or section, with indication as to sources of information. 

5 . Reference to columns and lines by numbers and letters of columns 
and lines. 

6. Manner of showing special comments or explanations (in remarks 
column, transmittal letter, or other space). 

7 . Method for reporting revisions in data. 

8. Examples of forms on which sample entries have been made. 

9 . Reference to previous instructions which are being amplified, 
amended, or completely superseded. 




- 107 - 


10. Effective date, with allowances to make changeover from previous 
method, 

11. Frequency, date, and time for submitting. 

12. Designation of organization unit or office (by Job title) to whom 
form or report is to be submitted. 

13 . Number of copies required. 

14. Method of transmission (special messenger, regular mail, etc.). 

15 . Manner of reproduction of form, if not furnished in quantity 
(whether by offset, stencil, or hectograph, and by whom to be 
done). 




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